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Full text of "University of Massachusetts Board of Trustees records, 1836-2010"

UNIVERSITY OF MASSACHUSETTS 

COMMITTEE/BOARD MEETINGS 

1993 MINUTES 



•COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 



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1. January 29, 1993 

2. March 31, 1993 

3. May 19, 1993 

4. July 28, 1993 

5. September 22, 1993 

6. November 22, 1993 



•COMMITTEE ON ADMINISTRATION AND FINANCE 



1. January 20, 1993 

2. March 30, 1993 

3. May 19, 1993 

4. July 27, 1993 

5. September 20, 1993 

6. November 23, 1993 



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•EXECUTIVE COMMITTEE 

1. February 2, 1993 

2. April 6, 1993 

3. May 4, 1993 

4. June 1,1993 

5. August 10, 1993 

6. October 5, 1993 

7. November 30, 1993 

•BOARD OF TRUSTEES 



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1. February 3, 1993 

2. April 7, 1993 

3. May 6, 1993 

4. June 2, 1993 

5. August 11, 1993 

6. October 6, 1993 

7. December 1, 1993 

•ATHLETIC COMMITTEE 



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1. January 7, 1993 

2. May 18, 1993 

3. September 21, 1993 

4. November 16, 1993 



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UNIVERSITY OF MASSACHUSETTS 

COMMITTEE/BOARD MEETINGS 

1993 MINUTES 



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•AUDIT SUBCOMMITTEE 

1. March 30, 1993 

2. 111116 21,1993 

3. September 15, 1993 



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•AUDIT COMMITTEE 



1. November 10, 1993 



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•HONORARY DEGREE SUBCOMMITTEE 



1. March 22, 1993 

2. May 26, 1993 



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INVESTMENT COMMITTEE 



1. April 6, 1993 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 



MINUTES OF THE MEETING OF THE COMMITTEE 
ON ACADEMIC AND STUDENT AFFAIRS 

Friday, January 29, 1993; 12:30 p.m. 

Board Room 

18 Tremont Street 

Suite 800 

Boston, Massachusetts 

Committee and Committee Staff : Chair Poduska; Trustees DiCara, McNeil, Taylor and Tobin; 
Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Members Absent : Trustees Finnerty, Karam and Vittimberga 



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University Administration : President Hooker; Vice-President Story; Ms. Nethersole, Director of 
Student Affairs; Chancellors Penney and Deck; Provost Dalgleish; Vice Chancellor Foy; Professor 
Leheney, UMASS Amherst; Dean Berger, School of Behavioral and Social Sciences; Dean 
Goodman, Graduate School of Nursing, UMASS Worcester 



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Chair Poduska convened the meeting at 12:37 p.m. 

The first item on the agenda was the Delegation of Authority for Graduation Lists . In 
an effort to streamline Committee agendas to allow the Trustees to focus on major policy issues, 
President Hooker recommended the Committee delegate authority to the Chancellors to approve 
Graduation Lists. University degrees will continue to be awarded in the name of the Trustees to 
each student. It was moved, seconded and 



VOTED: 



To recommend that the Board delegate to the Chancellors of the 
respective campuses, with authority to further delegate to the Provost or 
a Vice Chancellor, the authority to approve graduation lists of students 
who have completed requirements for the award of University degrees. 
The Chancellors shall regularly forward copies of the graduation lists to 
the Secretary of the Board of Trustees. The appropriate University 
degree shall be awarded in the name of the Trustees to each student on 
said lists without further vote of the Board. (Doc. T93-017) 



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The next item was an A ppointment with Tenure, UMASS Amherst . Vice President 
Story stated that Carole Beal joins the Department of Psychology at the Amherst campus with 
very high recommendations. It was moved, seconded and 



VOTED : 



To recommend that the Board concur with the President in the 
appointment of Carole Beal as Associate Professor of Psychology with 
tenure at the University of Massachusetts Amherst. (Doc. T93-011) 



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The next item was an Appointment with Tenure, UMASS Amherst . Vice President 
Story then informed the Committee that Joseph Goldstein will join the Department of Mechanical 
Engineering also serving as Dean of the College of Engineering. Professor Goldstein comes with 
an excellent reputation following a thorough campus search. President Hooker pointed out that 
such an appointment sends a message to the academic community that UMASS is on its way 
back. It was then moved, seconded and 



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VOTED : To recommend that the Board concur with the President in the 

appointment of Joseph Goldstein as Professor of Mechanical Engineering a 

with tenure at the University of Massachusetts Amherst. (Doc. T93-012) * 

The next item was a Contract Renewal, U MASS D artmouth . The Faculty Federation 
contract for the Dartmouth campus requires that the Board act on contract renewals and non- 
renewals for faculty on the tenure track. It was moved, seconded and 

VOTED : To recommend that the Board concur in the recommendation for a 

contract renewal of Walaa S. Mogawer at the Dartmouth campus as 
contained in Doc. T93-013. 

President Hooker then presented the Policy on Named Professorships which was 
developed by the Academic Advisory Committee. He explained that the policy will increase the 
University's ability to attract highly distinguished individuals and retain members of the faculty. 
Creation of chairs will still require Board approval. Since an abundance of named chairs reduces 
the value, the number of honorific chairs should not exceed 5% of the faculty ranks. No 
restriction is placed on the number of endowed professorships. The policy allows for three types 
of honorific chairs: 

1) University Professorships funded by the President's Office with University- wide 
responsibilities to be assigned by the President; 

2) Named Professorships associated with a given campus and funded by the campus; 

3) Distinguished Professorships are unfunded honorific campus-based professorships 
awarded to honor an incoming or current faculty member. 

It was moved, seconded and 

VOTED : To recommend that the Board approve the University's Policy on Named 

Professorships as contained in Doc. T93-014. Further, to rescind Doc. 
T78-069A, and all other policies, rules or regulations (or any part thereof) 
currently in effect in the University which are inconsistent herewith. 

The next item was A Report on Affirmative Action Plans . President Hooker reported 
that the plans from Amherst, Dartmouth and Worcester had been received and the Boston and 
Lowell plans are expected. He stated that because there has been very little hiring in the last four 
years, they have not had much impact. Now that the University is beginning to build its budget 
which will allow for increased hiring within the University, and provide the opportunity for 
substantial Affirmative Action activity. 

President Hooker also informed the Committee that the plans will be reviewed annually 
and updated as appropriate. Trustee McNeil inquired about the level of campus involvement in 
developing the plans and the need to have faculty and student input at all levels of affirmative 
action decisions. Vice President Story pointed out that one of the reasons that all the plans were 
not ready at Boston and Lowell was the consultative procedures within the campus structure. 

It was suggested that a key person in the President's Office be in charge of monitoring all 
Affirmative Action activity. There was also discussion about the Affirmative Action plans being 
reviewed by the Executive Committee in the future for issues not related to academic affairs. 



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The next item was a Report on Accreditation . Vice President Story briefed the 
Committee on the process and significance of Accreditation, pointing out some of the highlights 
of the report that had been prepared for the Committee. Accreditation is typically based on a 
self-study combined with an outside review. There are now more than forty agencies that 
accredit specific programs which can take up to six or seven years. 



The benefit of accreditation, in particular, specialized accreditation is that it helps the 
reputation of programs and offers assurance that a program meets standards of quality and 
performance. It also provides the tools for self-evaluation and improvement. Decisions to seek 
accreditation for a program are based on a program's purposes. A careful study of the benefits 
and limitations of a program accreditation should be taken beforehand. 



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President Hooker pointed out the fact that an important feature of program accreditation 
is that it helps graduates find employment in their chosen field. 

A Report on Tenure Rates at the University was then reported by Vice President Story. 
The report compares the rates of tenure with national rates and rates among peer institutions. It 
also offers a breakdown of tenured and untenured faculty by gender and race. 



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Vice President Story informed the Committee that the overall campus tenure rates are 
consistent with national averages and peer institutions. Tenure rates at university campuses vary 
greatly by department due to the fact that some departments are able to recruit young, untenured 
faculty and retain them through matching offers while others do not recruit or retain. 

He then to pointed several other facts such as: 



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•women and people of color are better represented in the tenure track than in tenure 
appointments so while the University had not done a lot of hiring in the last couple of 
years, we have done some; 

• tenure ratios at a given time depend on the status of the University's hiring cycle; for 
instance, when money is available, departments will hire young faculty, tenure rates 
will then be comparatively low. When money and student demand is down, hiring will 
slow down and tenure rates will rise; 



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•there is no mandatory retirement age anymore so people tend to stay on which will 
play a big factor on tenure rates in the future. 

Vice President Story thanked Rita Nethersole and Daphne Layton for their assistance in 
preparing the Tenure and Accreditation Reports as cited in the recent Ford Foundation Report. 



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Trustee McNeil commended the Boston campus for their achievement in campus 
diversity. 

Chair Poduska then expressed his desire to have the Committee review in depth the 
University's Vision Statement and the report on Academic Collaboration. He said he expected 
these items to come back to the Committee in the near future. 



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President Hooker then spoke about the Governor's proposed budget for the University 
next year which includes a substantial increase from last year's budget. 

The meeting adjourned at 2:46 p.m. 








Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 



MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 

Wednesday, March 31, 1993; 3:00 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 



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Committee and Committee Staff : Acting Chair Taylor; Trustees DiCara, Finnerty, McNeil and 
Vittimberga; Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Member Absent : Trustees Karam, Poduska and Tobin 

University Administration : President Hooker; Vice Presidents Story and Lenhardt; General Counsel 
Kirby; Ms. Nethersole, Director of Student Affairs; Provosts Gordon, Safwat, Dalgleish and Bratt; Vice 
Chancellor Foy; Professors Tucker and Ahearn, Dr. Cooke, Faculty Representatives 

Trustee Taylor, in the absence of Trustee Poduska, called the meeting to order at 3:10 p.m. The 
first item on the agenda was an Appointment with Tenure for Michael Lefever to the Hotel, Restaurant 
and Travel Administration Department at UMASS Amherst. Provost Gordon commented about the 
candidate's outstanding record and that he would be joining the campus as Department Chair. In 
response to a question, Provost Gordon described the campus selection process. President Hooker 
indicated that the process varies at each campus. It was then moved, seconded and 



VOTED: 



To recommend that the Board concur with the President in the appointment of 
Michael Lefever as Professor, Department of Hotel Restaurant and Travel 
Administration, with tenure at the University of Massachusetts Amherst. (Doc. 
T93-025) 






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The next item considered was Awards of Tenure, UMASS Amherst, UMASS Boston and 
UMASS Worcester. Vice President Story spoke to his review of the recommendations, noting two cases 
did not have unanimous recommendations. He added that of the 32 appointments, nine were women 
and five were minority candidates. He added his support to the recommendations. During the course of 
the discussion that followed, Provosts Gordon and Bratt described the tenure process. It was noted that 
the UMASS Lowell and UMASS Dartmouth recommendations would be presented at a later date in 
conformance with the prescribed timetables outlined in their respective collective bargaining agreements. 
It was moved, seconded and 



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V OTED : 



To recommend that the Board concur with the President in the award of tenure 
to the following individuals: 

Amherst 



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Audrey Altstadt - History 
Nicholas Bromell - English 
Julie Brigham-Grette - Geology and Geography 
John Burand - Entomology 
Deborah Carlin - English 

Macicj Ciesielski - Electrical and Computer Engineering 

(cont.) 



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Douglas Cox - Plant and Soil Sciences 

Kourash Danai - Mechanical Engineering 

Paul Dosal - History 

Robert Kusner - Mathematics and Statistics 

Ian Grosse - Mechanical Engineering 

Wei-Bo Gong - Electrical and Computer Engineering 

Curtice Griffin - Forestry and Wildlife Management 

Nicholas McBride - Journalism 

Ivan Mirkovic - Mathematics and Statistics 

Linda Nolan - Public Health 

William Oedel - Art History 

H. Dennis Ryan - Foresty and Wildlife Management 

Stephen Simkins - Plant and Soil Sciences 

John Tobiason - Civil Engineering 

Ron Welburne - English 

Jerri Willett - Education 

Michael Williams - Geology and Geography 

Bo ston 

Susan Haussler - Nursing 
Stephen Mrozowski - Anthropology 
James OToole - History 
Nancy Stieber - Art 

Worcester 

Paul R. Dobner - Molecular Genetics and Microbiology 

S. Katherine Hammond - Family and Community Medicine 

Jeanne B. Lawrence - Cell Biology 

Peter Quesenberry - Medicine 

F. Marc Stewart - Medicine 

(Doc. T93-026) 

The next item on the agenda was Contract Renewals, UMASS Dartmouth . This item was 
presented in accordance with the Faculty Federation contract and was recommended by the campus. It 
was moved, seconded and 

VOTED : To recommend that the Board concur in the recommendation for contract 

renewals of faculty members at the University of Massachusetts 
Dartmouth as contained in Doc. T93-027. 

Vice President Story then spoke to the Stage 1 Proposal from UMASS Boston to establish a M.A. 
in Dispute Resolution . He spoke to the success of the existing graduate certification program which will 
continue in tandem with the Masters program and added that this is a growing field with good demand 
for graduates. Professor David Matz, Director of the Dispute Resolution Program, UMASS Boston, 
addressed the existing collaborative efforts taking place with area law schools. 

Trustee Taylor commended the campus for its efforts in following the guidelines set forth in the 
policy document adopted in 1992, regarding the approval of new academic degree programs. It was then 
moved, seconded and (_ ' 






VOTED : 



To recommend that the Board approve the Masters in Dispute Resolution 
(Stage I) academic degree program at the University of Massachusetts 
Boston as contained in Doc. T93-028. 



The next item was approval of the Joint Ph.D. Program in Nursing, UMASS Amherst UMASS 
Worcester . Vice President Story enthusiastically endorsed this collaborative Ph.D. program in the field of 
Nursing. This program has been many years in the making and responds to Trustee concerns that new 
programs become collaborative; the Amherst campus will provide a wide array of cognate programs and 
the Worcester campus will provide outstanding clinical facilities at the Medical Center. He also informed 
the Committee that this program will be the first Ph.D. program in Nursing in a public institution in 
Massachusetts. This program also follows the criteria for program proposals set forth in the New 
Academic Program Approval Procedures passed by the Board. 

Vice President Story told the Committee that a Doctor of Nursing Science Program at UMASS 
Lowell will be submitted to HECC for approval, and that Boston is working on a Ph.D. Program in 
Nursing which will be a specialized program. There was then discussion on whether or not it would be 
wise to try and join together nursing programs at all the campuses. There was a consensus that it would 
be difficult to consolidate each program because of the many differences in curricular emphasis involved 
at each campus. 



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Deans Melanie Dreher, School of Nursing, UMASS Amherst and Lillian Goodman, UMASS 
Worcester reported to the Committee the source of funding for the program. President Hooker then 
reiterated the strong demand for doctoral trained nurses in the future. It was then moved, seconded and 



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VOTED: 



To recommend that the Board approve the joint Ph.D. in Nursing (Stage II) 
academic degree program at the University of Massachusetts Amherst and 
Worcester campuses as contained in Doc. T93-028. 



The next item was the FY92 Admissions and Financial Aid Report. Vice President Story 
explained to the Committee that this is an annual report submitted to the Committee every year detailing 
activities and issues of the previous admissions season. He then pointed out some of the highlights: 



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•applications at the Amherst, Dartmouth and Lowell campuses are down reflecting a 
demographic decline in the number of students graduating; up at Boston and Worcester, this is 
due to the Boston and Worcester campus' emphasis on recruiting adult students; 

minority admissions are up sharply in Amherst by 43%; the Boston campus continues its 
leadership in enrolling the highest proportion of students of color of four year colleges in New 
England; 



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•at the Worcester campus, women make up 56% of the entering class; 5% of the incoming class is 
listed as minorities, (this may be due to the statutory requirement to enroll only in-state 
residents.) The campus has recently begun efforts in developing an easier transition from high 
school to the UMASS undergraduate campus and to the Medical School for students interested in 
health careers. 



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Chair Taylor then expressed his pleasure that faculty members were playing an active role in 
recruiting exceptionally academically talented students by highlighting honors programs as well as 
through merit scholarships for exceptional students. He also asked that this report include retention data 
in the future to give a more complete picture to the Trustees. 



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President Hooker then commended Vice President Story for his work on the nursing^program. 
The meeting adjourned at 4:30 p.m. a / 1 \1/ j 

Cynrnia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 



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Wednesday, May 19, 1993; 1:00 p.m. 

18 Tremont Street - Board Room 

University of Massachusetts 

Boston, Massachusetts 



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Committee and Committee Staff : Chair Poduska; Trustees DiCara, Finnerty, McNeil, Taylor and 
Vittimberga; Mrs. Fontaine, Secretary to the Board 



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Committee Members Absent : Trustees Karam and Tobin 



University Administration : President Hooker; Vice Presidents Sessoms and Story; Assistant Vice 
President Layton; General Counsel Kirby; Ms. Nethersole, Director, Student Affairs; Chancellor Deck; 
Provosts Gordon and Safwat 



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Chair Poduska convened the meeting at 1:10 p.m. The first item was Appointments with Tenure, 

W UMASS Amherst UMASS Boston and UMASS Lowell . In introducing this item, Vice President Story 

noted that each candidate joins the University with high recommendations. Of particular interest was the 

appointment of Bruce Novak, who has been noted as one of the best polymer chemists in the world, as 

Associate Professor in the Department of Polymer Sciences and Engineering at UMASS Amherst . 

It was then moved, seconded and 



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VOTED : To recommend that the Board concur with the President in the appointments of John 
Carlstrom as Associate Professor, Department of Physics and Astronomy and Bruce Novak 
as Associate Professor, Department of Polymer Sciences and Engineering, with tenure at 
the UMASS Amherst; 



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To concur with the President in the appointment of Judith Smith as Associate Professor, 
Department of American Studies, with tenure at UMASS Boston; 

and further, 

To concur with the President in the appointment of William Lazonick as Professor, 
Department of Policy and Planning, with tenure at UMASS Lowell. 



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The next item was Awards of Tenure. UMASS Amherst. UMASS Boston . Vice President Story 
pointed out that three of the candidates were female. It was moved, seconded and 



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VOTED : To recommend that the Board concur with the President in the award of tenure 
to the following individuals: 

Amherst 

Genevieve Chandler - Nursing 

Aura Ganz - Electrical and Computer Engineering 

Michael Skrutskie - Physics and Astronomy 

Po-zen Wong - Physics and Astronomy 

Boston 

Carolyne Arnold - Human Services Center 

Oscar Gutierrez - Management Science and Information Systems 

Rick Houser - Counselor Training and School Psychology 

(Doc. T93-053) 

The next item was an Award of Tenure, UMASS Amherst. Chair Poduska pointed out that this 
award of tenure was one of an administrative nature. The Board had previously awarded Dr. Hooker 
tenure; this action specifies the campus and department. It was then moved, seconded and 

VOTED : To recommend that the Board approve the award of tenure to Michael K. Hooker 
as Professor, Department of Philosophy at UMASS Amherst. (Doc. T92-065A) 

The next item considered was the approval of an updated Code of Student Conduct, UMASS 
Amherst . A revised document, which reflected concerns of counsel to conform with new legal standards, 
was distributed at the meeting . Other revisions include: 

•extending the Code to fraternities, sororities and Recognized Student Organizations; 
•extension of protection to university employees 

•inclusion of stalking as a violation of the Code in keeping with new state statutes; 
•notification of victim in cases of violent crimes congruent with the Crime Awareness and 
Campus Security Act of 1990. 
•clarification of sanctions; 

General Counsel Kirby spoke of the work being done to update all University policies campus-wide 
and mentioned that the Code of Student Conduct will come to the Committee again with the other 
policies. There was also discussion about the need to shorten the Code, making it easier for students to 
look up the information they need. It was then moved, seconded and 

VOTED : To recommend that the Board approve the amendments to the Code of Student 
Conduct at UMASS Amherst as described in Doc. T93-055A. 

The next item was the approval of the Policy for Awarding Emeritus Status . Vice President Story 
explained that this policy basically extends the prior policy for the three-campus system to the new five- 
campus system. Ms. Nethersole, Director of Student Affairs, had researched emeritus procedures at other 
Universities and informed the Committee that emeritus policies vary considerably. Policies range from 
very informal, which allow all retired faculty to assume the title emeritus, to formal procedures with 
emeritus voted or approved by provosts and presidents. Similarly, the benefits of emeritus vary and 
often include parking, office and lab space, clerical support, participation in department decisions, etc. 

Many institutions are reviewing emeritus policies in view of the uncapping of mandatory retirement 
in 1994. 



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It was also noted that the emeritus status shall be determined at the discretion of each individual 
campus within this policy. It was moved, seconded and 



VOTED : To recommend that the Board approve the University Policy on Awarding Emeritus Status 
as contained in Doc. T93-054. Further, to rescind Doc. T81-021, and all other policies (or 
any part thereof) currently in effect in the University which are inconsistent herewith. 

Chair Poduska then asked Vice President Story to revisit the Report on Intercampus Academic 
Collaboration that had been first discussed in September, 1992. In particular, Vice President Story 
reported on the Next Steps, which he felt were important to develop stronger collaboration in the future. 
The first step discussed was System Consciousness. This involved the faculty and academic 
administrators on one campus remaining aware of the interests and needs of their counterparts on other 
campuses. Some of the suggested ways to do this were telephone and E-Mail communications among the 
campuses, a system technology task force with representation from every campus, publication of a 
Newsletter highlighting faculty awards, and the circulation of pertinent information, etc. Various other 
steps towards system consciousness might include: the posting of an electronic bulletin board, a series of 
intercampus topical mini seminars such as those instituted by former President Dr. Fretwell, and the 
establishment of a series of Presidential Seminars in disciplines that show initiative in intercampus 
collaboration. He announced an upcoming symposium of representatives from the Psychology 
Departments that will be held at the Kennedy Library, October 22nd on the Psychology of the University. 

Provost Gordon suggested that the General Counsel hold conferences for the campuses to discuss 
system-wide concerns such as conflict of interest laws and the ethics commission. General Counsel Kirby 
informed the Committee that such conferences are being planned. 



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\ Trustee Finnerty then inquired about student movement, particularly on ways to organize course 

numbers so that they are consistent from one campus to another. Ms. Nethersole explained that the 
Interchange Technical Group (a task force formed by the Committee on Academic and Student Affairs) 
was charged with allowing more seamless movement among campuses. While the goal is to allow 
movement, it is important that students use the system for appropriate purposes — taking courses 
unavailable at their home campus, enriching academic program, etc. It is critical that students are 
appropriately advised and receive approval from the home campus before taking courses at another 
campus. Interchange groups are continuing to work on strategies for movement. 



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There was also discussion regarding the lack of faculty movement within the campuses due to 
distance and demands on time. Vice President Story did not see this as a problem due to the enormous 
demands made of faculty members to provide first rate research and teaching abilities at each campus. 
He also commented on long-distance instructional technology as an alternative to time-consuming faculty 
and student movement and how the University must look at this issue very carefully. 



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Chair Poduska expressed his satisfaction with the Committee taking time to discuss such important 
issues and asked that they come up with a list of subjects for future discussions in a lengthier setting. 
Trustee Taylor suggested that one of the topics for this Committee to explore was where learning was 
going to be in the next five to ten years and how technology will play a role. 

President Hooker then pointed out Vice President's Story success in gaining support from all of the 
campuses and faculty members in the area of academic affairs. The meeting adjourned at 2:35. 



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Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST • B OSTON •DARTMOUTH • LOWELL • WORCESTER 



MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 



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Wednesday, July 28, 1993; 3:00 p.m. 

18 Tremont Street - Board Room 

University of Massachusetts 

Boston, Massachusetts 



Committee and Committee Staff : Chair Poduska; Trustees DiCara, Finnerty, McNeil and Taylor; Mrs. 
Fontaine, Secretary to the Board 

Committee Member Absent : Trustees Dickson and Karam 






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University Administration : President Hooker; Vice Presidents Sessoms and Story; Assistant Vice 
President Layton; General Counsel Kirby; Ms. Nethersole, Director, Student Affairs; Provosts Gordon, 
Safwat, Dalgleish and Bratt; Vice Chancellor Foy 

Chair Poduska convened the meeting at 3:03 p.m. The first item was Appointments with Tenure, 
UMASS Amherst UMASS Boston and UMASS Lowell . Vice President Story reported that of the 32 
people on the list, 25% were women and 16-17% represented minority members. Provost Safwat then 
expressed the campus' pleasure with the appointments of Bernard Harleston and Eric Hayden, two 
candidates with distinguished reputations. Provost Gordon also expressed his enthusiasm for the 
candidates from the Amherst campus. 

It was moved, seconded and 



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VOTED : To recommend that the Board concur with the President in the appointments of Arlene 
Avakian as Associate Professor, Women's Studies Program, Kyle Johnson as Associate 
Professor, Department of Linguistics and James Rinderle as Associate Professor, 
Department of Mechanical Engineering, with tenure at UMASS Amherst; 



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To concur with the President in the appointments of Bernard Harleston as Professor, 
Graduate College of Education and Eric Hayden as Dean of the College of Management, 
Department of Accounting and Finance, with tenure at UMASS Boston. (Doc. T93-063) 

The next item was Awards of Tenure, UMASS Amherst, UMASS Dartmouth and UMASS Lowell . 

Vice President Story informed the Committee that ten of the twenty-seven candidates were women. 
It was moved, seconded and 



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VOTED : To recommend that the Board concur with the President in the award of tenure to the ♦ 

following individuals: 

Amherst 

Robert Bernatzky— Plant and Soil Sciences 

Frank Cannon—Biochemistry and Molecular Biology 

Tom Juravich— Labor Relations and Research Center 

Laetitia LaFollette— Art History 

Gail Schumann—Plant Pathology 

Dartmouth 

Beryl Barkman— Accounting and Finance 

Scott Dickman— Psychology 

Karon Doherty— Design 

Gerald Hammond— Chemistry 

Catherine Houser— English 

Hong Liu— Computer and Information Science 

Christina Makara-Biron— Foreign Literature and Languages 

Timothy O'Sullivan— Chemistry 

Alan Thompson— Design 

Lowell 

Meg Bond— Psychology 

Ronald Brent— Mathematics 

David Ryan— Chemistry 

Samuel Paikowsky— Civil Engineering 

John Ting— Civil Engineering ^ 

Thomas Vasilos— Chemical and Nuclear Engineering 

Kenneth Geiser— Work Environment 

Jon LeBaron— College of Education 

Joyce Mehring— Operations Management/Management Information Systems 

Leo Pipino— Operations Management/Management Information Systems 

Vincent Pivnicny— Health 

Susan Reece— Nursing 

Suzanne Nault— Library (Doc. T93-064) 

The next item was Contract Renewals, UMASS Dartmouth . Vice President Story explained that the 
Faculty Federation contract for the Dartmouth campus requires Board of Trustees action on contract 
renewals for faculty on the tenure track. It was then moved, seconded and 

VOTED : To recommend that the Board concur in the recommendation for reappointment of 
faculty members at UMASS Dartmouth as contained in Doc. T93-065. 

The next item was Contract Non-Renewals, UMASS Lowell . Vice President Story explained that 
Trustee concurrence is sought in notifying UMASS Lowell faculty that their contracts will be terminated 
effective May 31, 1994. It was moved, seconded and 

VOTED : To recommend that the Board authorize the Chair of the Board to send notice of 

termination effective May 31, 1994 to faculty members at UMASS Lowell as contained 
in Doc. T93-070. 



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The next item was the Provosts' Plan for Restructuring, UMASS Amherst. Provost Gordon gave 
some background information leading up to the changes in the academic organization at UMASS 
Amherst. The plan was intended to allocate resources more effectively adapting to the changing context 
in which the campus now operates. The plan is also a first step toward pursuing more substantive 
changes through the upcoming strategic planning process. 

The revised Plan proposes the following: 



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1. Renaming the Faculty of Humanities and Fine Arts the College of Humanities and Fine Arts; the 
Faculty of Natural Sciences and Mathematics the College of Natural Sciences and Mathematics; the 
Faculty of Social and Behavioral Sciences the College of Social and Behavioral Sciences; the School 
of Public Health the School of Public Health and Health Sciences. 

2. Eliminating the School of Physical Education. 

3. Transferring the Department of Exercise Science to the School of Public Health and Health 
Sciences; the Department of Sports Studies to the College of Food and Natural Resources; the 
Department of Nutrition to the School of Public Health and Health Sciences; the personnel of the 
Department of Professional Preparation to the School of Education, as part of the Department of 
Teacher Education and Curriculum Studies. 



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4. Reorganizing the School of Education into a Department of Teacher Education and Curriculum 
Studies, a Department of Education Policy, Research, and Administration, and a Department of 
Student Development and Pupil Personnel Services. 

President Hooker reported to the Committee that newly-elected Chancellor Scott had 
enthusiastically endorsed the plan. Vice President Story added that there had been a great deal of 
thought and discussion with faculty members before the final plan was submitted and that it has been 
widely received on the Amherst campus. 

It was then moved, seconded and 

VOTED : To recommend that the Board approve the Provost's Plan for Restructuring at UMASS 
Amherst as contained in Doc. T92-090A including : 



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1. Renaming the Faculty of Humanities and Fine Arts the College of Humanities 
and Fine Arts; the Faculty of Natural Sciences and Mathematics the College of Natural 
Sciences and Mathematics; the Faculty of Social and Behavioral Sciences the College of 
Social and Behavioral Sciences; the School of Public Health the School of Public Health 
and Health Sciences. 



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2. Eliminating the School of Physical Education. 

3. Transferring the Department of Exercise Science to the School of Public Health 
and Health Sciences; the Department of Sports Studies to the College of Food and 
Natural Resources; the Department of Nutrition to the School of Public Health and 
Health Sciences; the personnel of the Department of Professional Preparation to the 
School of Education, as part of the Department of Teacher Education and Curriculum 
Studies. 



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4. Reorganizing the School of Education into a Department of Teacher Education 
and Curriculum Studies, a Department of Education Policy, Research, and 
Administration, and a Department of Student Development and Pupil Personnel 
Services. 

As part of the Provost's Plan there was need for the Committee to approve the following Transfers 
of Tenure, UMASS Amherst It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the transfer of tenure of 
individuals listed to the departments indicated: 

Student Development and Pupil Personnel Services 

Maria R. Brassard 

John C. Carey 

Patricia Griffin 

Bailey Jackson 

Barbara Love 

Allen E. Ivey 

William Matthews 

Janine McGill Roberts 

Stanley E. Scarpati, Department Chair 

Doris Shallcross 

Patricia Silver 

Gerald Weinstein 

John Wideman 



Norma Jean Anderson 
Donald K. Carew 

Educational Policy, Research and Administration 

Patricia G. Anthony 

Patricia H. Crosson 

Jeffrey W. Eiseman 

Arthur W. Eve 

David R. Evans 

Ronald K. Hambleton 

David C. Kinsey 

Robert Miltz 

Gretchen B. Rossman 

David Schimmel 

David Schuman 

Hariharan Swaminathan 

George Urch 

Kenneth Washington 



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Teacher Education and Curriculum Studies 

G. Ernest Anderson 

David M. Bloome 

Liane Brandon 

R. Mason Bunker 

Richard J. Clark, Department Chair 

Grace Craig 

Carolyn Edwards 

Portia C. Elliott 

Atron Gentry 

Byrd Jones 

Alfred Karl son 

George Forman 

Richard Konicek 

William Masalski 

Sonia Nieto 

J. Kevin Nugent 

Kenneth Parker 

Howard Peele 

Masha K. Rudman 

I. Earl Seidman 

Klaus Schultz 

Robert L. Sinclair 

Judith Solsken 

Patrick Sullivan 

William Thuemmel 

Ernest D. Washington 

Robert R. Wellman 

Jerri Willet (Doc. T93-066) 

The next item was the Establishment of an Institute for Asian American Studies, UMASS Boston . 
Provost Safwat provided background information leading to the request of the establishment of the 
Institute. He then pointed out that Asian Americans represent the fastest growing ethnic minority group 
in the Commonwealth. The Institute will join the Trotter and Gaston Institutes in focusing on issues 
affecting the state's minority population. 



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Chair Poduska then inquired as to the fiscal requirements involved in the establishment of such an 
institute. Provost Safwat informed the Committee that there will be fundraising efforts involved as well 
as money earmarked for the Institute in the FY94 operating budget. 



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Trustee DiCara then requested that the President's Office prepare a report on the origin of all the 
University institutes and if some of them could be consolidated and how they are financed. 

Vice President Story spoke briefly on the subject of centers and institutes: Amherst has 23, Boston has 
18, Dartmouth has 11, Lowell has 22 and Worcester will have one. They are primarily used for 
interdisciplinary research purposes for faculty members and as a means of raising external funding. 
President Hooker agreed that an external review of the quality of the institutes should be conducted. 

Chair Poduska then asked General Counsel Kirby to study this issue as to what specific institutes 
require a Board vote. 

It was moved, seconded and 



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VOTED : To recommend that the Board approve the establishment of the Institute for Asian 
American Studies at UMASS Boston as contained in Doc. T93-067. 

The next item was the Stage 1 Proposal for the M.S. and Ph.D. in Organismic and Evolutionary 
Biology. UMASS Amherst. Vice President Story informed the Committee that this program was an 
appropriate and necessary proposal enthusiastically supported by Provost Gordon and Chancellor Scott. 
He then asked Professor Bemis, head of the program to provide further background information. 

Some of the issues highlighted were: 

•The program will train masters and doctoral students whose research interests center on organisms 
and their functional biology. 

•New federal initiatives emphasizing biodiversity are being mounted including the National 
Biological Survey, the United States Fish and Wildlife Service's Gap Analysis Program and numerous 
studies funded by the Department of Agriculture, the Department of Commerce, the Environmental 
Protection Agency and the Department of Defense, as well as the national Science Foundation. 

Trustee McNeil inquired about the opportunities for students obtaining a degree in this program. 

It was moved, seconded and 

VOTED : To approve the Stage I proposal for the M.S. and PhD. in Organismic and Evolutionary 
Biology at UMASS Amherst. (Doc. T93-029) 

The Committee then heard a report from Ms. Nethersole regarding Admissions who informed the 
Committee of current admissions statistics which show increases in applications at UMASS Amherst, 
Boston, Lowell and Worcester. The emphasis in admissions will be on marketing the University as a 
system. Ms. Nethersole then reported on the Wrap-Around which will again be part of all University 
view books. In 1993, the University received over 3,000 response cards for a total of over five thousand 
individuals campus inquires. In addition, the University system participated in four spring college fairs 
in new market areas to increase awareness of the system and its benefits. Four new fairs are scheduled 
for the fall to reach seniors and four more in the spring for 9-11 grades. 

She also spoke of the work of The Admissions Group (four of the admissions directors and the 
President's Office Director of Student Affairs), which is investigating several technologies for simplifying 
the admissions process. The most promising of these is XAP an electronic application program. The 
program, which is used by the California State University System, allows students to use personal 
computers (MS DOS and Macintosh) to complete the application and submit it on a disk or transmit it 
through Internet. Although the program is exciting, the Admissions Group has concerns about access, 
cost, adaptability and marketing, and will be investigating these concerns in a series of focus groups for 
students, parents, guidance counselors, etc., over the next several months. 

There was then an Update on the System Technology Task Force . Vice President Story reported 
that President Hooker had appointed in April, a System Task Force to prepare a Strategic Plan for 
introduction of technology to the five campus system. Vice President Story, Chair and Martin Smith, 
Head of the University Information Services as co-chair, with representatives from all the campuses, have 
met and are coming to the end of their work. The work has been done in consultation with the Executive 
Offices of Education and Economic Affairs. The Task Force has been reviewing systems at other states 
and has come up with a four year proposal costing $20 million dollars which will come from the 
University, the federal government, the corporate sector and possibly from the state. 



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President Hooker commended Vice President Story for his work and is optimistic that the proposal 
will receive a favorable review from the State. The Governor in his five year capital program, will set 
aside $25 million for telecommunications projects and the University stands a good chance of receiving 
some of these funds. 

The Committee then heard an Update on the Pluralism and Diversity Conference . President 
Hooker reported that the University has recently learned that one of the University's most distinguished 
alumni members, Mr. Bill Cosby, has agreed to speak at the conference. Thanks were extended to Vice 
President Story, Ms. Tuthill and Ms. Nethersole for their work in this endeavor. 



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The meeting adjourned at 4:45 p.m. 



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Staff Assistant 




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Revised 
11/22/93 



UNIVERSITY OF MASSACHUSETTS 



AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIRS 



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Wednesday, September 22, 1993; 3:00 p.m. 

18 Tremont Street - Board Room 

University of Massachusetts 

Boston, Massachusetts 

Committee and Committee Staff : Chair Poduska; Trustees Finnerty and McNeil; Mrs. Fontaine, 
Secretary to the Board 






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Committee Member Absent : Trustees DiCara, Dickson, Karam and Taylor 



University Administration : Vice President Story; Assistant Vice President Layton; General Counsel 
Kirby; Ms. Nethersole, Director, Student Affairs; Chancellor Scott; Provosts Gordon, Safwat, 
Anderson and Bratt; Professor Ahearn, Faculty Representative 



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Chair Poduska convened the meeting at 3:09 p.m. Vice President Story commented that the Chair 
has been asked to give a series of lectures at MIT over the next few months on the random theory of 
turbulence, which is a continuation of his doctoral dissertation work. This is really quite an honor, 
and Vice President Story extended his congratulations. He also indicated that the University is in the 
process of reviewing all trustee policies to make them applicable to all five campuses and to find the 
common features in the policies. The ones we will be dealing with next are student codes of conduct, 
picketing and alcohol policies. These are quite complicated because of the legal implications. He 
asked Rita Nethersole, Director of Student Affairs to make some brief comments. She indicated the 
challenge is to balance responsiveness to the particular needs of the campuses with the need for 
uniformity on some aspects of the policies. She also indicated that the department is looking to bring 
the policies to the Board for approval by the February meeting so implementation can occur for the 
next academic year. 

Then first items considered were the Appointments and Awards of Tenure. UMASS Amherst 
and UMASS Dartmouth . Vice President Story indicated that these were singularly illustrious 
appointments across the board and Provost Gordon spoke to the added item, Appointment with 
Tenure for Andrew Harris, and its significance to the Large Millimeter Telescope Project. 



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Also noted was the Award of Tenure of Chancellor Peter Cressy . It was moved, seconded and 

VOTED : To recommend that the Board concur with the President in the 

appointments of Leon Osterweil as Professor, Department of Computer 
Science and Andrew Harris as Associate Professor, Department of Physics 
and Astronomy, with tenure at UMASS Amherst; 



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VOTED: 



To concur with the President in the appointment of Suzann Buckley as Professor, 
History Department, with tenure at UMASS Dartmouth. (Doc. T93-092) 



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And further, 



VOTED : To recommend that the Board concur with the President in the award of 
tenure to Chancellor Peter H. Cressy, as full Professor, Department of 
Management, UMASS Dartmouth. (Doc. T93-046, Addendum 1) 

And, 

VOTED : To recommend that the Board concur with the President in the award of tenure to Dr. 
Robert Weis, as Associate Professor, Chemistry Department, UMASS Amherst. (Doc. 
T93-094) 

The next item on the agenda was Approval of Ph.D. Programs at UMASS Boston, UMASS 
Dartmouth and UMASS Amherst. Vice President Story said that this group of three doctoral 
proposals as a package addresses one of the key strategic priorities of the UMASS system, economic 
development. The Boston proposal addresses needs in the immediate metropolitan area and will also 
have wide-spread impact. The Electrical Engineering program at the Dartmouth campus addresses 
particular regional needs and the Amherst HRTA builds on one of the most successful hospitality 
industry programs in the country. He added that all three proposals received extensive review 
within the President's Office. 

Provost Safwat gave the history of the development of the Computer Sciences Proposal, which 
was initiated in 1985 approved by the campus governance in 1986, approved at the Stage 1 level by 
the Board of Trustees in 1987 and the Board of Regents in 1991. The approval of the proposal was 
reaffirmed by the new UMASS Board of Trustees in October 1991. The program would be focused on 
software engineering and its application within computer science in database systems, artificial 
intelligence and expert systems, communications systems, operating systems and compiler 
construction. There is no existing doctoral program with this focus in the nation, and demand for 
graduates of the program will be high. The Computer Science Industrial Advisory Board has offered 
strong support and encouragement for this program. It also enjoys strong student demand as well. 
He also mentioned that several graduates of the M.S. program have gone on to doctoral programs at 
the University of Southern California, Stanford, UCLA, UMASS Amherst and UMASS Lowell. 

Trustee Finnerty raised questions about the cost projections when the program is fully up and 
running as well as how the program impacts on programs that currently exists. In response, 
Professor Eckhouse indicated that he expects this program in the long run, will be a money making 
program and that doctoral students will also be teaching. Trustee Finnerty added that the progress of 
going through the stages for developing new programs is an excellent way of analyzing if it is 
something that can be afforded and at this stage all of the questions should be satisfactory. That 
brought up the point that setting programs on the road to a Ph. D. should initially be done at the 
campus level. It should also be understood that the University's resources are limited and as new 
programs are added we must re-deploy resources. 

Trustee O'Neil raised a concern about being able to attract a diverse student population from a 
pool of people who are already employed in science and engineering areas. After hearing from the 
campus about their efforts in this regard, Vice President Story noted that the University is committed 
to progress in areas that will lead to economic development, a goal that is sometimes in tension with 
initiatives that will improve our record in pluralism and diversity. He added that we must strive to 
achieve both goals. 

It was moved, seconded and 






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VOTED : To recommend that the Board approve the Ph.D. in Computer Sciences (Stage II) 
academic degree program at UMASS Boston as contained in Doc. T91-112, 
Addendum 1. 



Vice Story then introduced the next Proposal, Ph.D. in Electrical Engineering, UMASS 
Dartmouth which has also been in the planning stages for several years. It accords well with the 
marine science orientation the campus is developing. He then introduced Dr. Bryce Anderson, the 
Acting Provost at UMASS Dartmouth who noted that this program would be UMASS Dartmouth's 
first doctoral program, building on a successful and well-subscribed master's program in the same 
field. It is oriented toward employed engineers and is expected to strengthen existing ties between 
the Department of Electrical and Computer Engineering and marine-related industries and 
government laboratories in Southeastern Massachusetts. 

The proposed program will start at a modest size, with a projected entering class of five students 
growing to twenty students. In response to the question of finance, the program will require an 
investment and require state support. At the same time, the program is expected to attract significant 
external support. 



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Trustee Finnerty expressed his support to the ties to the Marine Science Laboratory that will be 
constructed. Mr. Curry, Acting Dean of Engineering, mentioned that UMASS Dartmouth recently 
won a competition held to offer an on-site master's degree in electrical engineering at the Naval 
Undersea Warfare Center in Newport, Rhode Island. It is anticipated that some of the students 
would go on to a Ph. D. degree. 



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It was moved, seconded and 

VOTED : To recommend that the Board approve the Ph.D. in Electrical Engineering (Stage II) 
academic degree program at UMASS Dartmouth as contained in Doc. T91-112, 
Addendum II. 

The next proposal was the PH.D Proposal in Hotel, Restaurant and Travel Administration, 
UMASS Amherst, which has been in development for many years. It builds on one of the most 
successful undergraduate hospital industry preparation programs in the country. They have 
produced numerous illustrious alumni; 5,000 graduates are employed in the industry, many of them 
in Massachusetts. This is a small doctoral program which will add significantly to the potential of the 
department and is relatively inexpensive. Provost Gordon then referred to several endorsements 
which have been received from the industry and prominent alumni. 

Provost Gordon also spoke about the program and demand that exists in this particular field. 
With regard to the resource question, Provost Gordon spoke about external resources available and 
the efforts of Dean Helgesen who has diligently reallocated resources within the College. With 
respect to the diversity of potential enrollments, it was also noted that at the undergraduate level, 
Amherst has one of the first departments in the country to charter a minority hotel program to attract 
minority people into the hotel industry. 

It was moved, seconded and 



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VOTED : To recommend that the Board approve the Ph.D. in Hotel, Restaurant and Travel 

Administration (Stage II) academic degree program at UMASS Amherst as contained 
in Doc. T91-1I2, Addendum III. 

Under discussion items, the Proposal for a Five-Campus Library System was next on the agenda. 
Vice President Story indicated that the System Technology Task Force has recommended a two part 
proposal. Part 1 is a library technology proposal along with some infrastructure innovations that will 



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facilitate that technology, and Part 2 is a instructional and distance learning component. The System 
Technology Task Force developed the Library Technology proposal from the Library Committee, a ♦ 

subcommittee of the Provost Academic Advisory Council. The proposal is the work and 
responsibility of the Librarians of the system with the endorsement of the Academic Advisory 
Council and the System Technology Task Force. He added that if we are going to develop as a more 
unified five campus system we have to do this kind of thing and it is believed that the library 
technology proposal is the center piece. Further if we are to maintain our rank as a significant 
graduate and research institution and hopefully increase that rank we have to have access to good 
research materials. This also positions us to move toward the virtual electronic library of the twenty- 
first century. 

He then asked Mr. Franckowiak from Lowell to describe this proposal from the standpoint of 
Librarians. Vice Chancellor Costello from Lowell and Mr. Blanchard from Amherst were also 
introduced. 

Highlighting the proposal, he spoke about the intent to: 

•Purchase a state-of-the art integrated library system 

•Establish network connections to the other information resources on the local campus and to the 

major public computer networks and highways, such as the NREN. 
•Mount and electronically disseminate commercial, government, and local databases. 
•Extend network access and library research and information management services to K-12 

schools, and community and state colleges 
•Extend network access and library research and information management services to the 

business communities across the Commonwealth. 
•Establish fast, reliable means of delivering requested information to the user. 
•Create new positions to manage the electronic resources 
•Create new positions to educate and train users to be proficient in the new electronic 

environment and to design and implement projects to reach businesses, K-12 students and staff, 

public libraries and others. 
•Charge the Five Campus Libraries Committee with oversight responsibilities. 

Chancellor Scott said it was important to pay attention to "user friendliness" and spoke of some of 
the resistance. He spoke of the need to think about some of the design issues early on as well as to be 
involved in the development of policies and not allow the technology to drive the policies. 

The total cost over a four year budget period for the proposal is $15,474,000, with the first year 
costs being $2,074,000. Included in this cost is the personnel needed to implement, maintain and train 
both students and faculty. Vice President Story said given the scope and ambition of the project, the 
cost was not outrageously expensive. He indicated the need to put some funds into this, but also 
indicated a phenomenal amount of interest in telecommunications and computer companies in 
getting involved in this project. We expect to pay for a significant amount of this with corporate 
sponsorship and there may be money from the federal government for training. 

Trustee Finnerty asked about the internal process that we will be used to follow and develop this 
project. It is something, because of the significance of the cost, that will need to be referred to the 
Administration and Finance Committee. 

Chair Poduska indicated that this was a topic that needs continued discussion as it speaks to 
integrating the 5 campuses and asked that this be added to the next Committee agenda. 

The final item on the agenda was a report from Assistant Vice President Daphne Layton on the 
UMASS Report Card. She indicated that recent articles in the Globe and Chronicle have picked up ^, 

on President Hooker's promise to the Legislature that the University would come out with a "report 

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card" in an attempt to address issues of accountability. The Report Card would focus on two areas: 
financial to demonstrate we are financially managed well and a number of different aspects of the 
academic endeavor. She said that the University was in the very preliminary stages of developing the 
process. 



There being no further business to come before the Committee, the meeting adjourned at 5:00 



p.m. 



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Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST • BOSTON 'DARTMOUTH • LOWELL 



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MINUTES OF THE MEETING ON THE 
COMMITTEE ON ACADEMIC AND STUDENT AFFAIR 

Monday, November 22, 1993; 3:00 p.m. 

18 Tremont Street - Board Room 

University of Massachusetts 

Boston, Massachusetts 



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Committee and Committee Staff : Chair McNeil; Chair Taylor; Trustees Finnerty, Karam, and 
Poduska; Mrs. Fontaine, Secretary to the Board 

Committee Member Absent : Trustees DiCara and Dickson 

University Administration : President Hooker; Vice Presidents Story and Sessoms; General 
Counsel Kirby; Ms. Layton, Assistant Vice President; Ms. Nethersole, Director of Student Affairs; 
Interim Vice Chancellors Foy and Mulvey; Provosts Gordon, Safwat, Anderson and Bratt; Dean 
O'Brien, UMASS Amherst 

Chair McNeil convened the meeting at 3:05 p.m. and thanked Trustee Poduska for his service 
as Chair of the Committee. 






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The first item on the agenda was Alcohol Policies, UMASS Amherst Boston, Dartmouth , 
and Lowell . Vice President Story said that this item was part of the University-wide effort to 
review and update policies. The alcohol policies before the Committee are conceptually similar, 
but also reflect the history and particular circumstances of each campus. He distributed revised 
policies which had been updated since the mailing but those changes were few and intended to 
clarify and were not substantive. 

Interim Vice Chancellor Mulvey and Provost Anderson then spoke to how the policies were 
developed at their respective campuses. 



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There was then a lengthy discussion about the degree to which campus policies should 
conform to each other and whether there should be one uniform policy in matters of this type. 
The alcohol policies are conceptually similar and conform to a set of common underlying 
principles stemming from state law and guidelines promulgated by national agencies and 
associations. However, there are differences in the application of those principles to specific 
circumstances (e.g., residential facilities, age of students, fraternities) on each campus. 



> 



It was moved, seconded and 

VOTED: To recommend that the Board approve the Alcohol Policies for the Amherst, 
Boston, Dartmouth and Lowell campuses all as contained in Doc. T93-116. 
Further, to rescind all other policies, rules and regulations (or any part thereof) 
currently in effect in the University which are inconsistent herewith.) 



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The next item was the Appointment with Tenure of Dr. Elisabeth Pennington. Provost 
Anderson spoke of her qualifications to be appointed with tenure to the Department of 
Institutional Nursing at UMASS Dartmouth. She will also assume the position of Dean of the 



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College of Nursing. He also spoke to the process and that the appointment has full support at all 

faculty levels. It was moved, seconded and f 

VOTED: To recommend that the Board concur with the President in the appointment of 
Elisabeth A. Pennington as Professor with tenure, Department of Institutional 
Nursing, UMASS Dartmouth. (Doc. T93-113) 

Next was the Establishment of Distinguishe d Visiting Massachusetts Professorship of 
Ocean Science and Engineering at UMASS Dartmouth. Chancellor Cressy spoke to the 
importance of this appointment as the campus moves to Marine Science and Environmental 
Affairs and that the professorship will be supported by a large donation for one year. He also 
extolled Dr. Robinson's extraordinary accomplishments and enthusiastically recommended his 
appointment to this Professorship. It was moved, seconded and 

VOTED: To recommend that the Board establish the Distinguished Visiting Massachusetts 
Professorship of Ocean Science and Engineering, UMASS Dartmouth. (Doc. T93- 
114) 

and, 

VOTED: To recommend that the Board concur with the President in his appointment of 

Dr. Allan Robinson to the Distinguished Visiting Massachusetts Professorship of 
Ocean Science and Engineering, UMASS Dartmouth as contained in Doc. T93- 
114, Addendum 1. 

The next item on the agenda was the Establishment of the Nirenberg Chair at UMASS, 
Amherst. Thomas O'Brien, Dean of School of the Management spoke about the opportunity this 
provides for the School of Management and the University. They will begin the recruitment 
process this year and it is intended to use the income to supplement the basic salary. The 
Committee extended its congratulations to the campus on this achievement. 

It was moved, seconded and 

VOTED: To recommend that the Board establish the Charles and Janet Nirenberg Chair of 
Business Leadership at the University of Massachusetts Amherst as described in 
Doc. T93-115. 

Vice President Story then asked that the Committee endorse the establishment of the 
Department of Emergency Medicine at UMASS Worcester. This action establishes a new 
program and confers academic standing while at the same time allows the campus to compete to 
attract high caliber faculty and residents. He also spoke about the campus process and indicated 
that this would not require any additional resources. Trustee Finnerty stated that regardless of 
whether programs require additional resources he felt it imperative that issues of expansion come 
before the Committee 

It was moved, seconded and 

VOTED: To recommend that the Board establish the Department of Emergency Medicine 
at the University of Massachusetts Worcester as described in Doc. T93-124. 



Under discussion items, Chair McNeil asked that discussion of the Report on Achieving 
Tenure be deferred to a later time when Trustee Bok may be available. 



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There was then a discussion about Follow-up to the Pluralism Conference. A sampling of 
the responses had been included in the materials and it was clear from that data that the 
workshops which were the most valuable were those that impacted individual's ability to do 
their jobs. Chair McNeil, on behalf of the Trustees, thanked the Steering Committee for the 
successful and creative experience. It was suggested that each campus identify issues to be 
addressed on an annual basis. Trustee McNeil indicated that she expects the Task Force on 
Diversity will continue to provide guidance 






Assistant Vice President Daphne Layton then spoke to the Fall 1993 Enrollment Report . She 
asked the Committee members to provide input on the substance of the reports or format and 
data they would like to see in the forthcoming year and thanked the campus representatives for 
their responsiveness in providing the data. 

She then commented on the subject of declining SAT scores which have recently received 
some press, providing some additional data to help the Committee place the scores and the 
media debate in context. 



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There was then a discussion about perceptions, demographics and efforts underway to 
correct these misperceptions such as regional editorial board meetings. Trustee Poduska raised 
the concern about the acceptance rate particularly at UMASS Amherst. Chancellor Scott 
reminded the Committee of the other element to keep in mind which is demographics and tuition 
increases. He agreed that regardless of who one admits, it is the ability of the institution to 
graduate the individuals that matter. 



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Chancellor Scott said a land grant University must be committed to creating winners in our 
society as opposed to creating finer screening mechanisms for entry. 

President Hooker stated that it would be very healthy if this Committee studied the question 
of what SAT's really mean, how we should use them, and what implications there are for 
admission standards at the University. 



There being no further business to come before the Committee the meeting adjourned at 4:30 



p.m. 



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Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE COMMITTEE 
ON ADMINISTRATION AND FINANCE 

Wednesday, January 20, 1993; 10:00 a.m. 

Board Room 

University of Massachusetts 

18 Tremont Street 

Suite 800 

Boston, Massachusetts 

Committee and Committee Staff: Chair Spence; Trustees Haynes, Lewenberg, Loh, Oakes, Neal 
and Reed; Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Members Absent: Trustees Bogan, Flores, O'Leary, Solomont and Vittimberga 



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University Administration : President Hooker; Vice President Lenhardt; Ms. Uber, University 
Budget Director; Mr. Wolcott, University Auditor; General Counsel Searson; Ms. Wanczyk, 
University Controller; Chancellors O'Brien, Penny, Deck and Hogan; Vice Chancellors Page, Logan, 
Goodwin and Stanton; Associate Vice Chancellor Edwards 



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Chair Spence convened the meeting of the Committee at 10:15 a.m. The first item on the 
agenda which Vice President Lenhardt spoke to was the University Cash Management Policy . He 
indicated that this policy was presented in conjunction with the Treasurer's Annual Investment 
Report, and he explained that the changes reflect current practice or editorial changes. The most 
significant changes are to make the policy consistent with the Policy for Management of University 
Funds and to give the University the opportunity to extend investments from (an average of no 
more than 5 years to up to 10 years) thereby increasing the yield. 

There was then a discussion about the attendant risk associated with extending the 
weighted average life of the portfolio investments to up to 10 years. This discussion led to an 
overview of the FY 1992 Treasurer's Investment Report . 

Vice President Lenhardt highlighted the investment performance of the portfolio. He 
commended the Staff in the Treasurer's Office for their efforts in this regard. Pointing to page 7 of 
the report, he noted to the average cash balance over the last five years and the predictions for the 
current and future years. 



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Chair Spence commented that the investments are managed in-house and that the data 
suggests that the staff has done well. She suggested that, in light of the discussion, it would be 
worthwhile to have an Investment Committee as a subcommittee that could work with the staff in 
providing broader input in investment strategies. It was then moved, seconded and 



V OTED : 



(1) 



To recommend that the Board approve the revised University Cash 
Management Policy as contained in Doc. T92-031, Appendix F, as 
amended, with the provision that the original language in Section 
III shall continue in effect, as follows: 

The University will purchase only instruments with a remaining 
maturity of five (5) years or less, except that obligations underlying a 



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repurchase agreement may have a final maturity of more than five (5) 
years. 



And further, 



VOTED : To recommend that the Board approve the FY1992 Treasurer's 

Investment Report as contained in Doc. T92-115. 

Vice President Lenhardt then presented two votes relating to the Mullins Center at the 
Amherst campus. The first vote was to approve a program statement for the Mullins Center 
reaffirming public service as a vital purpose of the University and encouraging, whenever 
practicable, that facilities of the University be utilized for public service and education programs. 
The second vote is to clarify that the only funds to be used to service the Mullins Center debt will be 
the authority fee. It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

B E IT RESOLV ED : 

WHEREAS, the statutes creating the University of Massachusetts (the 
"University"), Chapter 75 of the General Laws of Massachusetts, as 
amended, provide, among other things, that "the major purpose of the 
University shall be to provide, without discrimination, public service, 
research, and education programs, including continuing education 
services, in the liberal arts and sciences . . ." (Massachusetts General Laws, 
Chapter 75, S52); and 

WHEREAS, "public service" encompasses the provision of educational and / / 

cultural programs to the public at large and the enhancement of 

opportunities within the geographic areas served by the University for 

members of the public and students of the University to attend, at 

reasonable prices, lectures, concerts, festivals, exhibitions, dramatic 

performances, films and other events demonstrating and reflecting the 

immense diversity of ideas and concepts, artistic creativity, performance 

techniques and musical and other artistic styles in the United States and 

throughout the world, thereby increasing awareness and appreciation both 

of the diversity of our cultural heritage's and our common ties as men and 

women devoted to the enrichment of our lives and the affirmation of 

understanding and good will among cultures and people throughout the 

world; 

WHEREAS, the needs of our country for citizens with wide-ranging 
knowledge, broad sympathies and acute judgment make it imperative that 
"education programs in the liberal arts and sciences" encompass both the 
classical culture of the past and the popular culture of the past and present, 
so that the students of the University and the citizens of our country may 
experience the rich diversity of our traditions and our culture and judge 
with sympathy and discernment the state of and make significant 
contributions to our contemporary society and polity; 

NOW, THEREFORE, the Trustees of the University, in keeping with and in 
implementation of the purposes of the University as set forth in the statutes 
by which it was created, affirm public service to be a vital purpose of the 
University and encourage, whenever practicable, the facilities of the 

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University (including the William D. Mullins Memorial Center) to be 
utilized for public service and education programs as set forth above, and 
encourage also the continuing exploration of ways to develop and 
implement such public service and such educational programs in the 
liberal arts and sciences, and further affirm that the William D. Mullins 
Memorial Center and the programs and events provided thereby and 
therein are integral parts of the programs by which the University 
implements and explores additional ways of implementing its statutory 
purpose to provide public service and educational programs in the liberal 
arts and sciences. 



and 

RESOLVED: That the making of a "First Amendment to Contract for 
Financial Assistance, Management and Services 1988-A Projects" (the "First 
Amendment") between The Commonwealth of Massachusetts, acting by 
and through the Trustees (the "Trustees") of the University of 
Massachusetts (the "University"), and University of Massachusetts Building 
Authority (the "Authority") be and the same hereby is authorized; that the 
Trustees or a majority thereof be and hereby are authorized, in the name 
and on behalf of The Commonwealth of Massachusetts, to sign, seal with 
the common seal of the University and of the Trustees, acknowledge if 
deemed advisable, and deliver the First Amendment in the form presented 
to this meeting (subject to such minor changes, insertions and omissions as 
may be approved by the Trustees or a majority thereof and the Chairman 
or Vice Chairman of the Authority); that the form of the First Amendment 
presented to this meeting and each term, condition and provision therein 
contained be and the same hereby are approved, subject to such minor 
changes, insertions and omissions as may be approved by the Trustees or a 
majority thereof and the Chairman or Vice Chairman of the Authority, and 
that the execution of the First Amendment by the Trustees or a majority 
thereof shall be conclusive evidence (a) of the approval by the Trustees of 
any such minor changes, insertions or omissions and the authorization of 
the same and (b) that the form of the First Amendment so executed (with 
approved changes, insertions and omissions, if any) is as hereby authorized 
and approved. 

Chair Spence updated the Committee on FY 1994 State Budget Issues . She spoke of a 
meeting with the staff at the Governor's Office about the budget commenting that the overall tenor 
was quite supportive. Vice President Lenhardt spoke about discussions with Secretary of 
Administration and Finance, Peter Nessen reiterating the same support the Trustees' received. Vice 
President Lenhardt added that the state administration is looking for the University to provide 
them with very specific examples of what the University used its budget increase for and concrete 
examples of what it would use an increase for in future years. 

He added that the Budget and Planning Task Force continues to meet frequently to develop 
a clear set of recommendations for the Trustees concerning the FY 1994 budget allocations. 






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The next item on the agenda was an update on FY1994 Tuition and Fees . Chair Spence 
indicated that this was on the agenda for preliminary discussion with a recommendation coming 
from the administration at the next Committee meeting on March 30. She added that the 
Committee had before it a very thoughtful letter from Trustee David Loh articulating some 
thoughts about how the University approaches the tuition and fee issue. She reminded the 
Committee about last year's action where the Trustees reluctantly voted to increase tuition, but 



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wished to come back this year looking more closely at the policy with respect to tuition and fees, 
and related issues such as the University's competitiveness vis a vis changes at other institutions, 
and the question of access. 

University Budget Director Valerie Uber then commented on the issues and policy 
considerations being debated. She described the consultative process within the campuses and 
continuing efforts over the coming months to develop a student charge policy that will provide 
long-range perspective on student charges and other revenues; provide greater stability and 
predictability in the setting of tuition and fees; and clarify the role that student revenues play in the 
overall financial picture of the University. She added that there is continuing debate about the 
merits of a high tuition structure with corresponding high financial aid versus low tuition with a 
lower level of financial aid. There is some consensus that a low to moderate tuition level is 
preferable, a position that would suggest that annual increases for student charges would be in the 
CPI range or below. This issue is far from settled and the key to any such position is assuring 
continued state support at a sufficient level. Included in a package distributed and discussed was 
tuition and fee policy objectives and a four year summary of tuition and fees. Among the policy 
objectives currently being addressed are: 

A. To establish a policy and principles to guide the tuition and fee setting process, and to 
increase its predictability and stability. This would not only benefit students and parents, 
but improve strategic planning. 

B. To restructure existing tuition and fees with the following aims: 

1. Smooth out the tuition setting process; provide more predictability in rate changes; 
avoid sharp increases in charges. 

2. Initiate a stable process that is based on clearly defined guidelines, linked to strategic 
planning and that results in reasonable charges for students at all five campuses, rather 
than just reacting to state appropriation levels or other changing circumstances (more 
proactive, less reactive). 

3. Develop a broad policy on all student charges (i.e. tuition and mandatory fees), rather 
than dealing with tuition as a separate issue. 

4. Reassess the student fee structure with the goal of consolidation and simplification, 
including resolution of associated problems such as significant loss of revenue due to 
waivers. 

5. Establish a range within which basic undergraduate student charges at all campuses 
would be set, with the goal of narrowing the spread in charges for University 
campuses, while still maintaining flexibility to reflect differing cost structures. 

6. Establish a multi-year program for the Dartmouth campus to bring its charges closer to 
the level of other campuses. 

7. Collect, retain and disperse all tuition and fee revenues through the University's own 
cash management and accounting system. Provide corresponding reporting to the 
state on expenditures as needed. 

C. To clearly define the amount of support to be provided by both students and the state and 
to stabilize funding from both sources. 



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There was then a discussion about tuition cost structures focusing concerns about bringing 
the Dartmouth campus closer to the level of other campuses. Chancellor Deck noted preliminary 
discussions of groups on campus which are reviewing this issue and outlined a number of concerns 
including the affect on the programs, students, and the public relations perspective. Another 
related issue was new financial aid regulations and the impact on students. 



Vice President Lenhardt then updated the Committee on the Capital Financing Strateg y. 
There is a three pronged strategy starting with determining how much the University should 
borrow in terms of repair and rehabilitation of the physical plant and development of new 
construction as a secondary objective if it's consistent with the individual campus' mission. The 
University is moving forward with the first part of this strategy with the interviews of banking 
firms to represent the University. Discussions continue with the state, Division of Capital Planning 
and Operations and Secretary of Administration and Finance, trying to urge them to be a partner in 
this initiative and lastly discussions with the Secretary of Economic Affairs with regard to economic 
development dollars. 

Vice President Lenhardt indicated that by early March there will be updated lists of health 
and safety projects and a final view of debt capacity. Trustee Lewenberg spoke of the need to make 
the legislature aware of this initiative. 



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The next item on the agenda was a recommendation from the Worcester campus 
concerning financing the Capital Program of the University Hospital . Vice Chancellor Stanton 
spoke to these two items which preserve the Hospital's ability to later reimburse from capital 
financing funds that are advanced from operating cash of the Hospital. It was moved, seconded 
and 



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VOTED : 



To recommend that the Board take the following action: 

That the University of Massachusetts declare and it hereby declares its 
official intent under Treasury Regulations Section 1.103-18 as follows: 

The University of Massachusetts Medical School Teaching Hospital Trust 
Fund reasonably expects to reimburse, from the proceeds of debt to be 
incurred by the University expenditures to be advanced for the following 
project: Real estate and equipment acquisition and building construction, 
improvements and renovation for the Cancer Program, the Joseph T. 
Benedict Building and the Worcester City Campus. The maximum 
principal amount of debt expected to be issued for such reimbursement 
purposes is $16. 1 million. 



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and further, 

That Stephen W. Lenhardt is hereby authorized and directed to file a 
certified copy of the foregoing resolution with the Massachusetts Health 
and Educational Facilities Authority to be made reasonably available for 
public inspection beginning on a date no later than 30 days from the date 
hereof and ending upon the date of issuance of the aforesaid debt. 
(Doc. T93-O09) 

Vice Chancellor Stanton also spoke to the October 28 Hospital Management Board Finance 
Committee Minutes . He updated the Committee on the problems with procurement of the Patient 
Accounting/Patient Management System. 



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Chair Spence then called for a motion to enter into Executive Session to discuss Audits and 
Collective Bargaining Management Goals. It was moved, seconded and f 

VOTED: To go into Executive Session. 

The time was 11:15 a.m. Chair Spence voted for the motion as did Trustees Haynes, 
Lewenberg, Oakes, and Reed 



The meeting adjourned at 1130 a.m. 



Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, March 30, 1993; 3:00 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Haynes, Lewenberg, Loh, Neal, Oakes, 
Reed, Solomont and Vittimberga; Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Member Absent : Trustees Bogan, Flores and O'Leary 

Other Trustees : Trustees Foley and Karam 



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University Administration : President Hooker; Vice President Lenhardt; Ms. Wanczyk, University 
Controller; General Counsel Kirby; Chancellors O'Brien, Penney, Deck and Hogan; Vice Chancellors 
Page, MacCormack, Goodwin, Logan and Deputy Chancellor Stanton 

Chair Spence convened the meeting at 3:15 p.m. The first item on the agenda was Student 
Tuition and Fees. President Hooker reported that he and the Chancellors were developing a global 
tuition policy. He expressed a desire to commit to a policy wherein increases would be based on the 
consumer price index., assuming adequate state funding increases. He indicated his satisfaction that 
the proposed recommendations from the campuses for the forthcoming year are consistent for the 
most part with what the University's forthcoming policy recommendation will be. 

He also spoke of the process and timing issues related to the HECC's recent mandate that 
tuition and fees rates be kept within the 2-4% range The other time sequence issue is the setting of 
tuition and fees without the benefit of knowledge of the state appropriation. 



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Vice President Lenhardt reported that the budget request guidelines were sent out and they 
assume level state appropriation. They did not reflect proposed changes in group insurance and 
worker's compensation. Additionally, those trust funds supported by fees may be impacted by the 
mandated 13% annualized wage increase. Another guideline that the campuses were asked to 
respond to was setting aside sufficient financial aid to respond to any increases in student charges so 
that students would not be negatively affected by the new tuition rates. 



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Each Chancellor spoke to the specific requirements at the campuses and the proposed tuition 
and fees being recommended. 

At Dartmouth, there were two proposals before the Committee. Proposal A would set the 
curriculum fee at $45.00. Chancellor Deck spoke in depth to proposal B which recommends an 
increase in the fee of $330 per in-state student. The Chancellor stated that it was the University's goal 
to provide UMASS Dartmouth students an outstanding education on a par with the best in the world, 
and to provide southeastern Massachusetts with a high quality university. The proposed increase in 
tuition and fees would bring in an additional $2 million in revenue from students next year helping to 
achieve this goal. Increased revenue would meet specific academic needs by offering more sections 
of high demand courses; increasing availability for computers for student use; increasing other 
learning resources; and helping students complete their degrees through increased advisement and 
related support services. 



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Speaking to the impact on students, he indicated that the campus has pledged a significant 
increase in financial aid. All enrolled resident students who qualify will be guaranteed financial aid 
(exclusive of loans) covering the added expense associated with the increase. 

Trustee Tobin spoke to the proposed increase and its effect on the students. He then asked 
that this increase be delayed until the Board adopts a tuition policy. Trustee Karam spoke in support 
of the campus' recommendation and the need for this increase to support the role of the campus in 
research and economic development which will put the campus on equal footing with the other 
campuses. 

Chancellor Penney, speaking to UMASS Boston fees, said the proposed student activities fee 
at Boston had been withdrawn until the administration could have further discussion with the 
students. 

Trustee Loh spoke of his support of tying tuition to the Consumer Price Index, but would not 
support this year's recommendation because it puts tuition beyond the 35% state/student share 
policy established by the Higher Education Coordinating Council. 

Chair Spence then asked for a motion on tuition rates. It was moved, seconded and 



VOTED : 



To recommend that the Board, in accordance with Section 9 (i) of Chapter 
15A of the General Laws, recommend to the Higher Education Coordinating 
Council the following tuition rates for the 1993-94 Academic Year: 



TUITION 


From: 


TO: 




FY1993 


FY1994 


Amherst 






Undergraduate (resident) 


$2,134.00 


$2,220.00 


Undergraduate (non-resident) 


$8,237.00 


$8,566.00 


Graduate (resident) 


$2,671.00 


$2,778.00 


Graduate (non-resident) 


$8,237.00 


$8,566.00 


Boston 






Undergraduate (resident) 


$2,134.00 


$2,220.00 


Undergraduate (non-resident) 


$8,237.00 


$8,568.00 


Graduate (resident) 


$2,672.00 


$2,780.00 


Graduate (non-resident) 


$8,238.00 


$8,568.00 


Dartmouth 






Undergraduate (resident) 


$1,766.00 


$1,837.00 


Undergraduate (non-resident) 


$6,652.00 


$6,919.00 


Graduate (resident) 


$2,121.00 


$2,206.00 


Graduate (non-resident) 


$6,652.00 


$6,919.00 


Lowell 






Undergraduate (resident) 


$1,847.00 


$1,884.00 


Undergraduate (non-resident) 


$6,758.00 


$7,028.00 


Graduate (resident) 


$2,215.00 


$2,260.00 


Graduate (non-resident) 


$6,758.00 


$7,028.00 



Annual 




Dollar 




Change 


% Chat 


$86.00 


4.0% 


$329.00 


4.0% 


$107.00 


4.0% 


$329.00 


4.0% 


$86.00 


4.0% 


$331.00 


4.0% 


$108.00 


4.0% 


i $330.00 


4.0% 


$71.00 


4.0% 


$267.00 


4.0% 


$85.00 


4.0% 


$267.00 


4.0% 


$37.00 


2.0% 


$270.00 


4.0% 


$45.00 


2.0% 


$270.00 


4.0% 



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Worcester 

Undergraduate (resident) 
Undergraduate (non-resident) 
Graduate (resident) 
Graduate (non-resident) 
Medical School 



$2,671.00 
$8,237.00 
$8,578.00 



$2,738.00 
$8,566.00 
$8,792.00 



$67.00 
$329.00 
$214.00 



2.5% 
4.0% 
2.5% 



Chair Spence then asked to separate the UMASS Dartmouth motion on the Curriculum 
Su pport Fees . It was then moved, seconded 



VOTED : 



To recommend that the Board establish the following Curriculum Support 
Fees for the 1993-94 Academic Year: 






Amherst 
Curriculum Fee: Undergraduate 
Student Activities swap 
Instructional Lab Fees swap 

Total Curriculum Fee 

Curriculum Fee: Graduate 
Instructional Lab Fees swap 

Total Curriculum Fee 

Boston 

Curriculum Fee: Undergraduate 
Curriculum Fee: Graduate 

Lowell 

Curriculum Fee: Undergraduate 
Curriculum Fee: Graduate 

Worcester 

Curriculum Fee: Medical School 
Curriculum Fee: Graduate 



From: 
FY1993 



$2,594.00 
$2,594.00 



$1,000.00 
$312.00 



TO: 

FY1994 



$1,872.00 $1,947.00 



$1,872.00 $2,055.00 



$1,633.00 $1,699.00 



$1,633.00 $1,734.00 



$1,664.00 $1,730.00 
$1,664.00 $1,730.00 



$2,646.00 
$2,646.00 



$1,000.00 
$312.00 



Annual 


Dollar 


Change 


$75.00 


$33.00 


$75.00 


$183.00 


$66.00 


$35.00 


$101.00 


$66.00 


$66.00 


$52.00 


$52.00 


$0.00 


$0.00 



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% Change 



4.0% 



4.0% 



4.0% 
4.0% 



2.0% 
2.0% 



0.0% 
0.0% 



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The Curriculum Support Fee for UM ASS Dartmouth was then moved, seconded and 

VOTED : To recommend that the Board establish the following Curriculum Support 

Fees for the 1993-94 Academic Year: 



Dartmouth 

Curriculum Fee: Undergraduate (resident) $1,139.00 $1,469.00 

Curriculum Fee: Undergraduate (non-resident) $1,139.00 $1,843.00 

Curriculum Fee: Graduate (resident) $1,139.00 $1,529.00 

Curriculum Fee: Graduate (non-resident) $1,139.00 $1,843.00 



$330.00 
$704.00 
$390.00 
$704.00 



29.0% 
61.8% 
34.2% 
61.8% 



The vote was 4:2 with Trustees Spence and Vittimberga voting against the motion. 

The Residence Hall and Board Fees. Student and other Mandatory Fees and Revisions to 
Trust Funds at UMASS Amherst were then moved, seconded and 

VOTED : To recommend that the Board establish the following Residence Hall and 

Board fees for the 1993-94 Academic Year: 



Amherst 
Average Room 
Average Board 
Telecommunications 



Boston 



N/A 
N/A 



Dartmouth 
Average Room 
Average Board * 

Lowell 
Average Room 
Average Board 
Telecommunications 



From: 
FY1993 



$1,992.00 

$1,632.00 

$69.00 



$2,537.00 
$1,934.00 



$2,390.00 

$1,702.50 

$80.00 



TO: 
FY1994 



$2,116.00 

$1,712.00 

$69.00 



$2,588.00 
$2,002.00 



$2,390.00 

$1,774.00 

$80.00 



Annual 

Dollar 

Change 



$124.00 

$80.00 

$0.00 



$51.00 
$68.00 



$0.00 

$71.50 

$0.00 



% Change 



6.2% 
4.9% 
0.0% 



2.0% 
3.5% 



0.0% 
4.2% 
0.0% 



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Worcester 



N/A 
N/A 



* based on a 19 meal plan per week 



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) 



and further, 



VOTED : 



To recommend that the Board establish the following mandatory student fees 
for the 1993-94 Academic Year: 



OTHER FEES 

Amherst 
Athletic Fee 
Authority Fee 
Fine Arts Center 
Student Activities 
Student Health 

Boston 
Athletic Fee 
Health Services Fee 



Dartmouth 

General (Student) Activity Fee 

Worcester 
Health/Counseling Fee 



From: 
FY1993 

$182.00 
$306.00 
$60.50 
$112.50 
$395.00 



$90.00 
$94.00 



$175.00 



$320.00 



TO: 
FY1994 

$199.00 
$406.00 
$62.00 
$117.00 
$441.00 



$100.00 
$114.00 



$190.00 



$380.00 



Dollar 
Change 

$17.00 

$100.00 

$1.50 

$4.50 

$46.00 



$10.00 
$20.00 



$15.00 



$60.00 



% Change 

9.3% 

32.7% 

2.5% 

4.0% 

11.6% 



11.1% 

21.3% 



8.6% 



18.8% 



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and, 



VOTED : To recommend that the Board approve the following change to the Statement 

of Trust of the Career Services Trust Fund at the Amherst campus: 

From : The computerized Assisted Referral System (CARP) of the Career Services 
trust fund provides a computerized job referral system that matches students 
and alumni with employment opportunities. The system also provides a 
printout of profiles to employers who call with immediate openings. 

To : The Career Services trust fund supports all of the information systems 
which the Mather Career Center uses to provide students and alumni with 
state-of-the art career information, job matching and employment referral 
services. 



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And, 



VOTED : 



To recommend that the Board approve the following change to the Statement 
of Trust of the Residence Halls and Family Housing Trust at the Amherst 
campus: 



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From : The purpose of the this trust is to provide for the operation, repair and 
maintenance, and custodial care of all campus residence halls and family 
housing apartments, and for hall security, residential staffing and 
appropriate programming for residents in order to ensure a safe, clean, good 
physical condition and quality living environment at the lowest possible 
costs. The fund includes services for capital repairs and replacements, and 



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rehabilitation of all facilities, furnishings, equipment for all campus student 
housing facilities including UMB Authority student housing facilities. The 
trust fund also includes the provision of telephone service, cable television 
service, and access to computers for all residence halls and family housing 
apartments. 

To : The purpose of the this trust is to provide for the operation, repair and 
maintenance, and custodial care of all campus residence halls and family 
housing apartments, and for hall security, residential staffing and 
appropriate programming for residents in order to ensure a safe, clean, good 
physical condition and quality living environment at the lowest possible 
costs. This fund includes established and future reserves for capital 
repairs, replacements and rehabilitation of all facilities, furnishings, and 
equipment for all campus student housing facilities including all UM 
Building Authority student housing facilities. The trust fund also includes 
the provision of telephone service, cable television service, and access to 
computers for all residence halls and family housing apartments. 



And further, 



VOTED : To recommend that the Board approve the following change to the 

Statement of Trust of the Residential Activity Program Trust at the Amherst 
campus: 

From : The purpose of this fund is to develop activities which enhance the quality of 
life for students in residence halls and family housing apartments. This 
programming has one of two basic types of funding: a self-supporting fee 
base or a specific source of funding from another campus agency. The fee- 
based programming is voluntary and includes evening activity centers and 
similar activities. The specific source funded programming is directed by the 
Residential Education and other relevant staff to address the recreational, 
cultural and educational needs of residents. 



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To : This fund contains a variety of programs which enhance the quality of life 
for students in residence halls and family housing apartments by addressing 
their educational, cultural, and recreational needs. The programming is 
supported by anyone or a combination of the following: voluntary charges 
such as House Council dues or direct program charges or funding from 
other campus agencies. The programming is directed or overseen by the 
Residential Education staff. 



And, 



VOTED : To recommend that the Board approve the following change to the Statement 

of Trust of the Telecommunication Network Services Trust at the Amherst 
campus: 

From : The Telecommunications Network Services Trust Fund is used for charging 
telephone expenses to non-state accounts and members of the Five Colleges, 
Inc. and for issuing payment for telecommunications, networking and video 

services. 

To : The Telecommunications Network Services trust is used for charging 
telephone expenses to non-state accounts, other entities housed on campus 



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and members of Five Colleges, Inc. and for issuing payment for 
telecommunications, networking and video services. 

The next item on the agenda was the State Operating Budg et. Vice President Lenhardt 
indicated that Ken Lemanski, Director of Governmental Relations was meeting with Trustees 
regarding the budget issues. 



Vice President Lenhardt then addressed the Capital Budget Plans and referred the 
Committee to a draft list of priority capital projects which was before it. He added that this will be 
refined on a continuing basis. Chair Spence asked that action be deferred until the Board meeting 
and that the investment banker, Goldman-Sachs, be invited to speak to the Board about this issue. 
The motion was then before the Committee to ratify the President's selection of Goldman-Sachs and 
Company as the University's investment banker. This recommendation comes from a University 
selection committee comprised of Trustees and senior staff in concert with Mass HEFA which 
reviewed and/or interviewed 29 firms. It was moved, seconded and 



VOTED : 



To recommend that the Board ratify the President's selection of Goldman- 
Sachs and Company as the University's investment banker. 






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The next item on the agenda was an Inter-Campus Loan for the University Hospital of $10 
million. The loan will allow the Hospital to maintain a sufficient level of working capital while the 
University resolves its longer term capital borrowing strategy. The terms of the loan call for 
repayment within 26 months with option to renew. It was moved, seconded and 



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VOTED : To recommend that the Board approve an intra-campus loan of ten million 

dollars to the University Teaching Hospital from funds available from the 
Research Trust Fund and/or the Medical School Trust Fund as determined 
by the Treasurer under the terms specified in the draft loan agreement. (Doc. 
T93-031) 

Trustee Lcwenbcrg then reported that the Audit Committee had met and discussed in detail 
Follow-Up Audits . He indicated that the Committee talked about progress made in dealing with the 
reportable conditions and that ongoing follow-up continues. It was moved, seconded and 



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VOTED: 



To recommend that the Board accept the following Audits: 

•University-wide Follow-up Audit of Reportable Conditions and Related 
Management Letter Comments (Doc. T93-027) 



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•Intercollegiate Athletics Program Audit Report, University of 
Massachusetts Amherst (Doc. T93-032) 

•Related Booster Organization, FY1992 Agreed Upon Procedures Audit 
Report, University of Massachusetts Amherst (Doc. T93-033) 

Due to the time constraints of members of the Committee, Trustee Spence deferred discussion 
on the Interim Financial Report , the Hospital Management Board Finance Committee Minutes and 
the Student Activities Trust Fund at UMASS Boston . 



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The meeting adjourned at 5:05 p.m. 




Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 



(revised 7/22/93) 



AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 



Wednesday, May 19, 1993; 10:00 a.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff ; Chair Spence; Trustees Bogan, Flores, Haynes, Loh, Oakes, O'Leary, 
Reed and Solomont; Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Member Absent: Trustees Neal and Vittimberga 

Other Trustees : Trustees Finnerty and Karam 

University Administration : President Hooker; Vice President Lenhardt; Executive Vice President 
Sessoms; General Counsel Kirby; Chancellors O'Brien, Penney, Deck, Hogan and Lazare; Vice Chancellors 
Page, MacCormack, Goodwin, Logan and Deputy Chancellor Stanton 

Chair Spence convened the meeting at 10:10 a.m. The first item on the agenda was Capital 
Financing . She then called on Vice President Lenhardt, who spoke about what the University is trying to 
accomplish in terms of the first stages of the capital financing plans. As part of the program, the Board is 
asked to authorize refinancing the existing University debt of $32 million and up, refinancing up to $154 
million of Building authority debt and $76 million of new dollars. The formulation of the four goals 
which the Committee is trying to put in place is as a result of the study Trustee Flores conducted in the 
Spring of 1992. Vice President Lenhardt said that the idea was to repair and maintain the existing 
infrastructure and buildings. He said that study reflected up to 200 million dollars of deferred 
maintenance problems at the University and the need to move forward. He also said, a credit position 
needed to be established for the University of Massachusetts as a new five campus entity. He pointed out 
that many people felt strongly that the state must not abandon the University. Although an amount has 
not been clearly defined, he expressed confidence that the State, having agreed with the University's 
capital strategy, will come through will some general obligation dollars. 

Vice President Lenhardt said that the University was in the process putting together five year plans 
and that the Administration would be back in October with very specific proposals about new buildings. 

He then introduced Ben Wolfe from Goldman and Saks who spoke about the current environment for 
borrowing. Mr. Wolfe's presentation focused on the evaluation criteria of public universities, which are 
both quantitative and qualitative, the security structure, and the manageability of the debt service burden. 
He said that, as previously indicated, there was no existing rating outstanding for the currently 
constituted UMASS. He talked about two factors that would impact that prospective rating. One was the 
roller coaster economic rating experience the Commonwealth has had over approximately the past 4 to 5 
years and the other was the newly constituted five campus system. When evaluated with a number of 
other major state university systems, the conclusion was that the University should be in the A category 
of rating. 

Vice President Lenhardt then reviewed the campus project lists which total $76 million dollars. There 
was a lengthy discussion about the project list for phase I with a concern raised about the projects being 
related to health and safety issues and not expansion or new facilities. Other concerns included the 



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effective prosecution of the program and the need of the Trustees to commit to a second phase of the 
program. 

The question of whether the Committee should be refinancing at a higher amount was discussed by 
Vice President Lenhardt. The $76M figure was arrived at by the campuses reviewing their current 
financial capacity, their ability to service the debt and their highest priority items. 

Trustee O'Leary made a motion to approve the capital financing program as presented. There was 
discussion on the motion and the campuses priority project lists as they relate to health and safety related 
issues 



It was moved, seconded and 



VOTED : To recommend that the Board take the following action: 



WHEREAS, there are various priority capital projects on each of the five campuses to be 
undertaken at the University, including several required for health and safety purposes; 



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WHEREAS, there are currently approximately $154 million of bonds outstanding (the 
"Outstanding Bonds") which were issued by the University of Lowell Building Authority, 
the Southeastern Massachusetts University Building Authority and the University of 
Massachusetts Building Authority (collectively, the "Building Authorities"), and the 
proceeds of these bonds were used to finance the construction and renovation of 
dormitories and other facilities on the campuses; 



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WHEREAS, the revenues generated by such dormitories and other facilities, including all 
dormitory fees (the "Revenues"), belong to the Building Authorities and are pledged by the 
Building Authorities as security exclusively for the owners of their Outstanding Bonds; 

WHEREAS, each of the Building Authorities are at or near the limits imposed by the state 
legislature on their ability to issue additional bonds to finance additional capital projects on 
behalf of the University; 



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WHEREAS, there are currently approximately $32 million of other outstanding obligations 
of the University, including two loans under the Massachusetts Health and Educational 
Facilities Authority CHEFA") Capital Asset Program Issue, Series E and the Lease Purchase 
Agreement dated as of September 1, 1988 between U.M. Limited Leasing Corporation and 
the University (the "Outstanding University Obligations"); 



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WHEREAS, pursuant to the provisions of Chapter 653 of the Acts of 1989, the state 
legislature has now authorized HEFA to issue bonds to finance and refinance capital 
projects undertaken on behalf of the University; 

WHEREAS, the University wants HEFA to issue bonds on its behalf to finance certain 
capital projects; 

WHEREAS, the University can get the highest possible credit rating and HEFA can issue 
bonds for the University at substantially lower interest rates if the Revenues currently 
pledged exclusively to the Building Authorities' bondholders are also made available to the 
HEFA bondholders; 

WHEREAS, the only way to make the Revenues available to the HEFA bondholders is for 
the University to direct HEFA to refinance the Outstanding Bonds of the Building 
Authorities and for the Building Authorities to approve such refinancings; 



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WHEREAS, the University can also realize certain significant savings by refinancing 
certain of the Outstanding Bonds of the Building Authorities at current historically low 
interest rates; 

WHEREAS, HEFA's ability to obtain the lowest possible interest rates for the University 
may be enhanced by also refinancing the Outstanding University Obligations; 






WHEREAS, in order to take advantage of the current favorable interest rate environment 
for the refinancing of existing Building Authority bonds and the Outstanding University 
Obligations and financing of capital projects, the University must undertake such financing 
and refinancing as soon as possible; 

NOW, THEREFORE, BE IT RESOLVED 

To delegate to the President of the University the authority to take such actions, execute 
such agreements and grant such security interests in revenues and assets of the University 
as he may determine to be advisable, necessary or convenient to effectuate the financing of 
up to $76,000,000 of capital projects for University projects and allow projects with 
particular emphasis on health and safety and to undertake such projects, and the 
refinancing of some or all of the Outstanding Bonds of the Building Authorities and the 
Outstanding University Obligations, through the issuance of one or more issues of bonds 
by HEFA as outlined in list presented. 



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The next item on the agenda was the FY94 Revenue-Based Trust Fund Budg ets. Vice President 
Lenhardt presented this item asking the Committee to approve the revenue and expenditures contained 
within each trust fund budget and as well as revisions to some statements of trusts. He added that this 
will be incorporated in the Operating Budget for 1994 which will be presented in the late summer after 
the State appropriation is known. It was moved, seconded and 

VOTED : To recommend that the Board approve the budgets and fee structures for the 
FY94 Revenue-Based Trust Fund Budgets at Amherst, Boston, Dartmouth, 
Lowell and Worcester, including the Medical Center Group Practice Plan and the 
Medical Center Hospital Budget, as described in Doc. T93-047. 



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The next item was the FY94 Student Activities Fee, UMASS Boston . Vice Chancellor MacCormack 
spoke about the process, the history of fee increases for the fund and the necessity of this increase. 



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Trustee Spence called on Mr. John Collins, Student Senator and Faculty Council Representative from 
UMASS Boston who had asked to appear before the Committee to speak of the student perspective on 
this issuer Mr. Collins read a statement on this subject, asking the Board to delay the vote on a permanent 
fee increase until the "Single Policy Document" is in place. 

Vice Chancellor Desmond, in response to a question from Trustee Loh, said he hoped that the Single 
Policy Document on the Campus Management of the Student Activities Trust Fund would be available 
before the June meeting. Trustee Loh offered a compromise position of $10.00 per semester so that it is 
limited to a small incremental increase. 



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Trustee Karam then made a motion that the fee be $12.00 per semester. It was moved, seconded and 

VOTED : To recommend that the Board establish the following per semester Student 
Activities Fee for FY94 at UMASS Boston: 



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Full Time : 




From: 
FY1993 



To: 
FY1994 



Per Semester Dollar 
Change % Change 



$30 



$42 



$12 



40% 



Part Time : 



From: 
FY1993 

$15 

Summer : 



To: 
FY1994 

$25.00 



Per Semester Dollar 
Change % Change 



$10.00 



67% 



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From: 
FY1993 



To: 
FY1994 



Per Semester Dollar 
Change % Change 



$7.00 



$10.00 



$3.00 



43% 



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Trustee Spence then asked that items 4 through 9 be held over to be considered by the full Board on 
June 2. The meeting adjourned at 12:05 p.m. 



$fKC^ ^^\J^^^ 



Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 



Tuesday, July 27, 1993; 12:30 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff ; Chair Spence; Trustees Haynes, Reed, Siegmann, and Solomont; 
Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Member Absent : Trustees Bogan, Flores, Lewenberg, Lizana and O'Leary 

Other Trustees : Trustees Finnerty and Karam 



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University Administration : President Hooker; Vice President Lenhardt; Executive Vice President 
Sessoms; General Counsel Kirby; Chancellors Penney, Hogan and Lazare; Provost Dalgleish; Vice 
Chancellors Page, MacCormack, Goodwin, Logan and Deputy Chancellor Stanton 



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Chair Spence convened the meeting at 12:35 p.m. She announced that because the state budget 
process had not been completed, action on the allocation of the FY 1994 State Appropriation would 
be deferred to the Board meeting. She then called on individuals who had asked to address the 
Committee about the FY 1994 budget: Richard Coach, President of the UMASS Amherst Local 1776; 
Tristram Carpenter from the UMASS Amherst Graduate Employee Organization and David Nunez, 
President of the UMASS Amherst Student Government Association. The individuals addressed 
concerns about rumored layoffs and the impact on the morale of the employees at the campus who 
have endured a furlough and cuts in the last two years. Other issues which were addressed focused 
on the recommended mission enhancement and the payment of the non-unit raises. Lastly, the 
students were concerned that the University would not, given the budget situation, follow through 
on commitments made related to diversity. 

President Hooker responded to the comments made, saying it is difficult not to disagree, but the 
University has to live within the confines of the budget. Within that there is latitude that the Board 
has and one of the questions it will face is the question of non-unit raises. He said he was concerned 
about the issue of fairness particularly for the non-unit classified category making less than $30,000 
who are confidential secretaries and are not permitted to be in the unit who are identical in all 
respects to a unit person who has received the increase. With respect to the issue of Tuition 
Retention, he expressed his gratitude to the students, and especially Tristram Carpenter, for their 
efforts to lobby on behalf of the University budget. There is a disagreement with the students on the 
question of whether tuition retention is to the benefit or detriment of the University. The President 
reaffirmed the position that it is ultimately to the University's benefit, but it is an issue that needs 
further discussion with the students and he looks forward to continuing the dialogue. He also 
commented that the University intends to keep its promises made to the students last year at the 
UMASS Amherst campus with respect to the issues of Multiculturalism. It is for that reason that 
mission enhancement funds are being set aside. One of the three strategic priorities of the University 
is to focus on Multiculturalism. It is only if some of the revenue is held back that allocations can be 
made to the campuses for focus on Multiculturalism. 

He then turned to Vice President Lenhardt who previewed the Operating Budg et which will be 
before the Board in October for approval. He added that for the first time, the Board would be 



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provided with quarterly reports of the estimates of revenues and expenses. In reviewing the material 
distributed to the Committee, he highlighted several aspects of the Operating Budget. Table 1 
provides a summary of previous years revenues and reveals that, freshmen enrollments are 
increasing and that the overall numbers are even with FY 1993. In the current funds general 
operations there will be a problem. Finally, he indicated that each of the campuses will be illustrating 
by organizational unit where the resources are being spent. Vice President Lenhardt also added that 
the University asked for outside language in the budget which would allow us an extra $2 million 
dollars to be spent if the actual revenues from tuition that go to the Commonwealth go above its 
April 1st estimate. 

Trustee Karam asked if the operating budget could be displayed by percentage of budget by line 
item in comparison to Peers so that Trustees can make comparisons. Trustee Karam indicated his 
interest in the campuses reviewing their allocations, keeping in mind the need to support strong 
programs as opposed to instituting across the board cuts. The President indicated that he is working 
on this with the Chancellors. He went on to say that in tough budgetary times, more importantly 
than in flush times, it is more important to focus on strategic priorities within the institution and 
allocating mission enhancement funds is one way to ensure that will happen. It may be irresponsible 
to do anything other than that and he asked for the Board's support to allocate funds to areas of 
highest priority and strategic importance. That should mean cutting back programs that are of 
marginal importance or of marginal quality. 

Trustee Solomont expressed his opinion that its particularly important in difficult times for the 
Board, President and Chancellors to fully hear the views of others. 

Trustee Siegmann spoke about the impact of this year's budget at UMASS Boston, based on her 
review of proposed allocation models. She spoke of previous cuts, tuition increases and layoffs at the 
campus. She detailed what the impact has been on the students, including longer graduation times 
and consolidation of programs She asked that the Trustees seriously consider having UMASS 
Worcester take more of a cut from the budget. 

President Hooker also stated that whatever budget cut the rest of the University takes, the 
President's Office will take as well. 

Trustee Spence then indicated that the next item on the agenda was University Reductions in 
Force Policies for Non-Unit Employees. This does not reflect a particular decision but is rather to 
approve the policy to carry out reductions in force, if necessary. It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

That the Board of Trustees hereby resolves that, if the President of University 
determines that retrenchment for financial reasons may be necessary in Fiscal 
Year 1994, the President is hereby directed to fulfill any and all obligations 
relative thereto arising under collective bargaining agreements or undertake 
such actions and make determinations as he shall deem necessary for the 
operation of the University. 

And, 

Furthermore, in light of the anticipated or actual unavailability of funds 
necessary to maintain the current level of staff and services in Fiscal Year 1994, 
to authorize the President of the University to undertake such actions, grant 
such delegations of authority, and make such determinations as he shall deem 
necessary for the operation of the University. 



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And further, 

To recommend that the Board adopt the University of Massachusetts Non-Unit 
Employee Reduction in Force Policy for Amherst, Boston, Dartmouth and 
Lowell as contained in Doc. T93-079. Further, to rescind Doc. T89-039 and Doc. 
T89-076, and all other policies (or any part thereof) currently in effect in the 
University which are inconsistent herewith. 



Vice President Lenhardt then updated the Committee on the Capital Financing Program which 
he said is still on track. He referred to the list of projects circulated in the material sent to the 
Committee and reported that he had a positive meeting with Secretary Robinson and Secretary 
Robertson who reiterated their support to this endeavor. He said that the University is planning on 
going forward with the bond offering in mid-September, with a major rating agency presentation 
scheduled for mid-August. The only downside is the loss of tuition retention which will have an 
impact on the credit rating costing more to borrow the money. He also stated that a tentative 
arrangement has been worked out with the state that would expedite a "swap" program where the 
state agreed to spend money on a project at a campus, and the University would then use our debt for 
another program. Lastly, he said that the campuses will come forward in September and October to 
present specific new building projects. 

In response to a question raised, President Hooker indicated that agreements have been worked 
out with the SMU and UMASS Building Authorities and that the agreement with the Lowell Building 
Authority is still being worked out. 



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Vice President Lenhardt then spoke to the Salary Administration Program. In the Fall of 1992, 
the Trustees authorized the President to establish a Non-Unit Professional Staff Salary 
Administration Program and a professional salary study was conducted across the University to 
reflect market differential, size and scope of the institution and job responsibility, resulting in the 
Management Compensation Program. With regard to the Employment Security Program, he asked 
that the Committee defer action until October until the new Chancellors at UMASS Amherst and 
UMASS Dartmouth have had the opportunity to review the program. 



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There was then discussion about the program. The Committee discussed where employees' 
salaries fit within the ranges and market differential as well as the delegation of authority included 
within the program. There was also discussion of the broadness of the ranges, whether the job 
responsibilities at one campus are all the same, therefore, compensated at the same salary at all five 
campuses or if ranges should be specific to each campus. After this discussion and a request for 
additional information, this item was deferred. 



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The next item on the agenda was the Relocation of the Continuing Education Building . UMASS 
Amherst and authorization for the campus to proceed with the Division of Capital Planning and 
Operations to acquire a permanent site by competitive bid. After a brief discussion of some of the 
specifications to be included in the Request for Proposals, it was moved, seconded and 

VOTED : To recommend that the Board authorize the Chancellor at UMASS Amherst or his 
designee to request the Division of Capital Planning and Operations to acquire new 
permanent off-campus location for the Division of Continuing Education. (Doc. T93- 
074) 

The next item on the agenda was the establishment of a Fringe Benefit Assessment Fund. 
UMASS Worcester. This fund would provide a mechanism to implement the final negotiation with 
the State for a fringe benefit rate for hospital employees, and establish a pool for all fringe benefit 



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obligations as well as provide a sharing of fringe benefit relief across the Medical Center. It was 
moved, seconded and 

VOTED : To recommend that the Board establish the Fringe Benefit Assessment Fund at UMASS 
Worcester which shall receive funds assessed and collected by the Chancellor from 
Medical Center self-supporting trust funds and any funds due from the 
Commonwealth to the Medical Center under the terms of the 1993 Memorandum of 
Understanding between the Medical Center and the Secretary of Administration and 
Finance (The Memorandum). Expenditures from the fund shall pay the cost of 
employee fringe benefits due to the Commonwealth pursuant to the Memorandum and 
shall cover the costs of actuarial studies and reports necessary to implement the 
Memorandum. 

Further, to approve the budget for said trust fund as set forth in Doc. T93-075. 

The next item was a Report on Consultant Contracts Over $100,000 which was provided in 
accordance with the University policy on consultant contracts. The Committee asked Chancellor 
Lazare to provide additional information about the scope of the contract with APM for the design of 
the Strategic Plan. There was discussion about this report and the mechanisms in place to ensure that 
contracts over $100,000 are approved by the President as provided in the policy. 

The Hospital Management Board Finance Committee Minutes were presented to the 
Committee. 

Trustee Haynes then gave the report of the Audit Subcommittee which met on June 21 and 
approved the selection of Ernst and Young as the Medical Center External Auditor. He added that 
the Committee would be meeting with the Audit firm to discuss the Committee's expectations. He 
also reported that the Committee discussed one Audit and it was moved, seconded and 

VOTED : To recommend that the Board accept the Amherst Campus Response to Athletics 
Program Audit Report by KPMG Peat Marwick (Doc. T93-061) 

There being no further business to come before the Committee, the meeting adjourned at 2:15 
p.m. 

Cynthia A. Fontaine 

Secretary to the Board of Trustees 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 



Tuesday, July 27, 1993; 12:30 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Haynes, Reed, Siegmann, and Solomont; 
Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Member Absent : Trustees Bogan, Flores, Lewenberg, Lizana and O'Leary 

Other Trustees : Trustees Finnerty and Karam 

University Administration : President Hooker; Vice President Lenhardt; Executive Vice President 
Sessoms; General Counsel Kirby; Chancellors Penney, Hogan and Lazare; Provost Dalgleish; Vice 
Chancellors Page, MacCormack, Goodwin, Logan and Deputy Chancellor Stanton 

Chair Spence convened the meeting at 12:35 p.m. She announced that because the state budget 
process had not been completed, action on the allocation of the FY 1994 State Appropriation would 
be deferred to the Board meeting. She then called on individuals who had asked to address the 
Committee about the FY 1994 budget: Richard Coach, President of the UMASS Amherst Local 1776; 
Tristram Carpenter from the UMASS Amherst Graduate Employee Organization and David Nunez, 
President of the UMASS Amherst Student Government Association. The individuals addressed 
concerns about rumored layoffs and the impact on the morale of the employees at the campus who 
have endured a furlough and cuts in the last two years. Other issues which were addressed focused 
on the recommended mission enhancement and the payment of the non-unit raises. Lastly, the 
students were concerned that the University would not, given the budget situation, follow through 
on commitments made related to diversity. 

President Hooker responded to the comments made, saying it is difficult not to disagree, but the 
University has to live within the confines of the budget. Within that there is latitude that the Board 
has and one of the questions it will face is the question of non-unit raises. He said he was concerned 
about the issue of fairness particularly for the non-unit classified category making less than $30,000 
who are confidential secretaries and are not permitted to be in the unit who are identical in all 
respects to a unit person who has received the increase. With respect to the issue of Tuition 
Retention, he expressed his gratitude to the students, and especially Tristram Carpenter, for their 
efforts to lobby on behalf of the University budget. There is a disagreement with the students on the 
question of whether tuition retention is to the benefit or detriment of the University. The President 
reaffirmed the position that it is ultimately to the University's benefit, but it is an issue that needs 
further discussion with the students and he looks forward to continuing the dialogue. He also 
commented that the University intends to keep its promises made to the students last year at the 
UMASS Amherst campus with respect to the issues of Multiculturalism. It is for that reason that 
mission enhancement funds are being set aside. One of the three strategic priorities of the University 
is to focus on Multiculturalism. It is only if some of the revenue is held back that allocations can be 
made to the campuses for focus on Multiculturalism. 

He then turned to Vice President Lenhardt who previewed the Operating Budg et which will be 
before the Board in October for approval. He added that for the first time, the Board would be 



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provided with quarterly reports of the estimates of revenues and expenses. In reviewing the material 
\ distributed to the Committee, he highlighted several aspects of the Operating Budget. Table 1 
provides a summary of previous years revenues and reveals that, freshmen enrollments are 
increasing and that the overall numbers are even with FY 1993. In the current funds general 
operations there will be a problem. Finally, he indicated that each of the campuses will be illustrating 
by organizational unit where the resources are being spent. Vice President Lenhardt also added that 
the University asked for outside language in the budget which would allow us an extra $2 million 
dollars to be spent if the actual revenues from tuition that go to the Commonwealth go above its 
April 1st estimate. 




Trustee Karam asked if the operating budget could be displayed by percentage of budget by line 
item in comparison to Peers so that Trustees can make comparisons. Trustee Karam indicated his 
interest in the campuses reviewing their allocations, keeping in mind the need to support strong 
programs as opposed to instituting across the board cuts. The President indicated that he is working 
on this with the Chancellors. He went on to say that in tough budgetary times, more importantly 
than in flush times, it is more important to focus on strategic priorities within the institution and 
allocating mission enhancement funds is one way to ensure that will happen. It may be irresponsible 
to do anything other than that and he asked for the Board's support to allocate funds to areas of 
highest priority and strategic importance. That should mean cutting back programs that are of 
marginal importance or of marginal quality. 



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Trustee Solomont expressed his opinion that its particularly important in difficult times for the 
Board, President and Chancellors to fully hear the views of others. 



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Trustee Siegmann spoke about the impact of this year's budget at UMASS Boston, based on her 
review of proposed allocation models. She spoke of previous cuts, tuition increases and layoffs at the 
campus. She detailed what the impact has been on the students, including longer graduation times 
and consolidation of programs She asked that the Trustees seriously consider having UMASS 
Worcester take more of a cut from the budget. 

President Hooker also stated that whatever budget cut the rest of the University takes, the 
President's Office will take as well. 

Trustee Spence then indicated that the next item on the agenda was University Reductions in 
Force Policies for Non-Unit Employees. This does not reflect a particular decision but is rather to 
approve the policy to carry out reductions in force, if necessary. It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 



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That the Board of Trustees hereby resolves that, if the President of University 
determines that retrenchment for financial reasons may be necessary in Fiscal 
Year 1994, the President is hereby directed to fulfill any and all obligations 
relative thereto arising under collective bargaining agreements or undertake 
such actions and make determinations as he shall deem necessary for the 
operation of the University. 

And, 



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Furthermore, in light of the anticipated or actual unavailability of funds 
necessary to maintain the current level of staff and services in Fiscal Year 1994, 
to authorize the President of the University to undertake such actions, grant 
such delegations of authority, and make such determinations as he shall deem 
necessary for the operation of the University. 



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And further, 



To recommend that the Board adopt the University of Massachusetts Non-Unit 
Employee Reduction in Force Policy for Amherst, Boston, Dartmouth and 
Lowell as contained in Doc. T93-079. Further, to rescind Doc. T89-039 and Doc. 
T89-076, and all other policies (or any part thereof) currently in effect in the 
University which are inconsistent herewith. 



Vice President Lenhardt then updated the Committee on the Capital Financing Program which 
he said is still on track. He referred to the list of projects circulated in the material sent to the 
Committee and reported that he had a positive meeting with Secretary Robinson and Secretary 
Robertson who reiterated their support to this endeavor. He said that the University is planning on 
going forward with the bond offering in mid -September, with a major rating agency presentation 
scheduled for mid-August. The only downside is the loss of tuition retention which will have an 
impact on the credit rating costing more to borrow the money. He also stated that a tentative 
arrangement has been worked out with the state that would expedite a "swap" program where the 
state agreed to spend money on a project at a campus, and the University would then use our debt for 
another program. Lastly, he said that the campuses will come forward in September and October to 
present specific new building projects. 



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In response to a question raised, President Hooker indicated that agreements have been worked 
out with the SMU and UMASS Building Authorities and that the agreement with the Lowell Building 
Authority is still being worked out. 



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Vice President Lenhardt then spoke to the Salary Administration Program. In the Fall of 1992, 
the Trustees authorized the President to establish a Non-Unit Professional Staff Salary 
Administration Program and a professional salary study was conducted across the University to 
reflect market differential, size and scope of the institution and job responsibility, resulting in the 
Management Compensation Program. With regard to the Employment Security Program, he asked 
that the Committee defer action until October until the new Chancellors at UMASS Amherst and 
UMASS Dartmouth have had the opportunity to review the program. 



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There was then discussion about the program. The Committee discussed where employees' 
salaries fit within the ranges and market differential as well as the delegation of authority included 
within the program. There was also discussion of the broadness of the ranges, whether the job 
responsibilities at one campus are all the same, therefore, compensated at the same salary at all five 
campuses or if ranges should be specific to each campus. After this discussion and a request for 
additional information, this item was deferred. 



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The next item on the agenda was the Relocation of the Continuing Education Building . UMASS 
Amherst and authorization for the campus to proceed with the Division of Capital Planning and 
Operations to acquire a permanent site by competitive bid. After a brief discussion of some of the 
specifications to be included in the Request for Proposals, it was moved, seconded and 

VOTED : To recommend that the Board authorize the Chancellor at UMASS Amherst or his 
designee to request the Division of Capital Planning and Operations to acquire new 
permanent off-campus location for the Division of Continuing Education. (Doc. T93- 
074) 

The next item on the agenda was the establishment of a Fringe Benefit Assessment Fund, 
UMASS Worcester. This fund would provide a mechanism to implement the final negotiation with 
the State for a fringe benefit rate for hospital employees, and establish a pool for all fringe benefit 



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obligations as well as provide a sharing of fringe benefit relief across the Medical Center. It was 
moved, seconded and 

VOTED : To recommend that the Board establish the Fringe Benefit Assessment Fund at UMASS 
Worcester which shall receive funds assessed and collected by the Chancellor from 
Medical Center self-supporting trust funds and any funds due from the 
Commonwealth to the Medical Center under the terms of the 1993 Memorandum of 
Understanding between the Medical Center and the Secretary of Administration and 
Finance (The Memorandum). Expenditures from the fund shall pay the cost of 
employee fringe benefits due to the Commonwealth pursuant to the Memorandum and 
shall cover the costs of actuarial studies and reports necessary to implement the 
Memorandum. 







Further, to approve the budget for said trust fund as set forth in Doc. T93-075. 

The next item was a Report on Consultant Contracts Over $100,000 which was provided in 
accordance with the University policy on consultant contracts. The Committee asked Chancellor 
Lazare to provide additional information about the scope of the contract with APM for the design of 
the Strategic Plan. There was discussion about this report and the mechanisms in place to ensure that 
contracts over $100,000 are approved by the President as provided in the policy. 



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The Hospital Management Board Finance Committee Minutes were presented to the 
Committee. 

Trustee Haynes then gave the report of the Audit Subcommittee which met on June 21 and 
approved the selection of Ernst and Young as the Medical Center External Auditor. He added that 
the Committee would be meeting with the Audit firm to discuss the Committee's expectations. He 
also reported that the Committee discussed one Audit and it was moved, seconded and 

VOTED : To recommend that the Board accept the Amherst Campus Response to Athletics 
Program Audit Report by KPMG Peat Marwick (Doc. T93-061) 



There being no further business to come before the Committee, the meeting adjourned at 2:15 



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Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST • BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Monday, September 20, 1993; 3:00 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 



Committee and Committee Staff : Acting Chair Haynes; Trustees Bogan, Flores, O'Leary, Reed and 
Siegmann; Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Members Absent : Trustees Lewenberg, Lizana and Spence 

University Administration : President Hooker; Executive Vice President Sessoms; Ms. Uber, Budget 
Director; General Counsel Kirby; Chancellors Penney, Hogan and Lazare; Vice Chancellors Page, 
MacCormack, Goodwin, Dars and Deputy Chancellor Stanton; Ms. Wanczyk, University Controller 



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Chair Haynes convened the meeting at 3:10 p.m. The first item on the agenda was the Fiscal Year 
1994 Operating Budg et. President Hooker in introducing this item mentioned that there are a 
number of changes this year in the format of the budget. He indicated that the Q & A presentation 
included in the mailing provides background information on the University's budget process. He 
then asked University Budget Director Valerie Uber to give an overview of the budget. The total 
operating budget for this year is over a billion dollars, with projected revenues of $1.2 billion, which 
is a 3.9% increase over FY 1993. Viewed without the Hospital and Group Practice, University 
revenues are still projected to grow by 1.9% in FY 1994. 

She then highlighted several new pieces of information included in this year's budget: tuition 
and fee waivers, quarterly revenue and expenditure projections, and transfers of plant funds. She 
also spoke about the UMASS Strategic Initiatives Fund, designed to provide funding for projects and 
programs on each campus that are linked to the strategic goals of the University and the 
Commonwealth. Five percent of the FY 1994 state appropriation is dedicated to these efforts with 
three percent ($6.8 million) distributed directly to the campuses and two percent ($4.5 million) to be 
allocated by the President's Office on a competitive basis. It is expected that the final decision on the 
two percent allocations will be made by mid-October. 



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In concluding her report, she spoke about the impact of the State Budget on the campuses. 
Indicating that although the University received an increase in total state dollars, there are also new 
or increased costs for FY 1994, including a two-phase wage increase. There was then a discussion and 
questions entertained about the budget and its impact on campus operations. The Chancellors and 
Vice Chancellor Dars spoke to specific actions which are being taken in order to meet financial 
obligations in FY 1994. 

In response to a question about other potential budget problems, Chancellor Hogan spoke about 
the impact on the campus budget of supporting the University of Lowell Building Authority because 
of high vacancy rates in the dormitories at Lowell. Trustee Bores asked for a review of the University 
of Lowell Building Authority finances, and also asked for clarification of its relationship with the 
University. Chair Haynes asked that the Authority be requested to present to the Committee a 
review of its financial condition and the long range implications of student enrollment projections. 



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Another question raised was the need to standardize the reporting format of the budget 
document. President Hooker responded that a review of the operating budget format is underway 
and changes in the document are being planned for next year. 

In response to a question about the FY 1995 budget, President Hooker responded that there has 
been a great deal of discussion about the budget request. Given the history of the FY 1994 budget 
cycle, he said it was unrealistic to expect a significant increase in funding in FY 1995 and to ask for a 
second year of the three-year formula budget request. 

After further discussion, it was moved, seconded and 

VOTED : To recommend that the Board approve the FY1994 Operating Budget for the Amherst, 
Boston, Dartmouth, Lowell and Worcester campuses, the Maurice Donahue Institute 
for Governmental Services, the President's Office and Central Administrative Services 
as contained in Doc. T93-078. 

The next agenda item was Capital Financing . President Hooker indicated that the process is 
moving forward. The budget situation is different from when this initiative commenced and our 
ability to service the debt is greatly constrained as a result of the shortfall between what were 
appropriated and what we needed this year. General Counsel Kirby said that it is hoped that the 
credit rating will be available before the full Board meeting and briefed the Committee about pending 
technical legislation concerning a two-thirds ratification of HEFA legislation. If this amendment is 
not adopted, it may be necessary to ask the Board to transfer all land to HEFA to avoid constitutional 
problems with the financing. 

She indicated that after a meeting this week with the Division of Capital Planning and 
Operations, the project lists would be refined and submitted to the October 6 Board Meeting for 
approval. The proposed motion before the Committee allows the campuses and the President's f 

Office to spend money on planning and design work and for the University to be reimbursed from 
the bond proceeds. 

Trustee O'Leary urged the University to hire and put in place individuals to exercise oversight for 
these projects. There was some discussion about the Division of Capital Planning and Operations 
considering delegating to the University the management of the projects in cooperation with HEFA. 
It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, in connection with the issuance of the Massachusetts Health and 
Educational Facilities Authority Revenue Bonds, University of Massachusetts Issue, 
Series A (the "Bonds"), the University of Massachusetts intends to reimburse from 
proceeds of the Bonds certain expenditures made prior to the issuance of the Bonds; 

NOW, THEREFORE, BE IT RESOLVED that the University of Massachusetts (the 
"University") declare and it hereby declares its official intent under Treasury 
Regulations SI. 150-2 as follows: 

The University reasonable expects to reimburse, from the proceeds of debt to be 
incurred by the University, expenditures (including expenditures made within the last 
60 days) temporarily advanced for certain projects; such projects shall be described on 
an exhibit to a vote to be taken by the Board of Trustees of the University on October 6, 
1993; the maximum principal amount of Bonds expected to be issued, a portion of the 
proceeds of which shall be used for such reimbursement purposes, is $125,000,000. £ 



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And further, 

That the Vice President and General Counsel of the University is hereby authorized 
and directed to file a certified copy of the foregoing resolution with the Massachusetts 
Health and Educational Facilities Authority to be made reasonably available for public 
inspection beginning on a date no later than 30 days from the date hereof and ending 
upon the date of issuance of the aforesaid debt. 

Chair Haynes then gave the report of the Audit Committee which met September 15. The first 
item on the agenda was the Audit Protocols . The recommended change dealt with the inclusion of 
the audit committee to participate and selection of external audit firms. It was moved, seconded and 

VOTED : To recommend that the Board approve the amendments to the University Audit 
Protocols as contained in Doc. T92-062, as amended. 

The next item was acceptance of two Audit Reports . Chair Haynes said the committee reviewed 
these reports in detail. It was moved, seconded and 

VOTED : To recommend that the Board accept the following Reports: 



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'Employee Business Expense Reimbursement Review, UMASS Lowell 

(Doc. T93-085) 

•Survey of Miscellaneous Cash Receipts, University- wide (Doc. T93-086) 



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The final item was the Annual Audit Plan for FY94, FY95, and FY96 . Mr. Wolcott commented on 
the direction and scope of the plan which is primarily focused on cash and cash related areas. Chair 
Haynes added that built into the plan is flexibility to change priorities as needed. It was moved, 
seconded and 

VOTED : To recommend that the Committee on Administration and Finance approve the 
Annual Audit Plan for FY94, FY95 and FY96 as contained in Doc. T93-087. 



There being no further business to come before the Committee, the meeting adjourned at 4:30 



p.m. 




Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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Revised 1/13/94 

UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING ON THE 
COMMITTEE ON ADMINISTRATION AND FINANCE 

Tuesday, November 23 1993; 2:02 p.m. 

18 Tremont Street - Board Room 

University of Massachusetts 

Boston, Massachusetts 

Committee and Committee Staff : Chair Spence; Trustees Siegmann, Lizana, Bogan, and Haynes; 
Chair Taylor; Mrs. Fontaine, Secretary to the Board 

Committee Members Absent : Trustees Flores, Lewenberg, O'Leary, and Reed 



University Administration : President Hooker; Vice President Lenhardt; Ms. Uber, Budget 
Director; General Counsel Kirby; Chancellors' Scott, Cressy, Hogan and Lazare; Vice Chancellors 
Page, MacCormack, Dars, Goodwin; Deputy Chancellor Stanton 



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Chair Spence convened the meeting at 2:02 p.m. The first item on the agenda was review and 
approval of the Land and Facilities Use Planning Policy . Vice President Lenhardt said that this 
is an updating of a policy established by the former three campus UMASS system. In updating 
the policy, three additional requirements have been added relating to new construction and 
major renovations. First, that any project totaling $500,000 or more must have specific Trustee 
approval. Second, that the campuses must prepare proposals for such projects based on 
guidelines and procedures established by the President, and third that any proposals for disposal 
must also follow established guidelines. 



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It was moved, seconded and 



VOTED: To recommend that the Board approve the Land and Facilities Use Planning 

Policy as contained in Doc. T93-122, as amended. Further, to rescind Doc. T89- 
072A, and all other policies (or any part thereof) currently in effect in the 
University which are inconsistent herewith. 



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Vice President Lenhardt then presented the next item, Family Leave Policy . This policy, 
which applies to non-unit employees, is in accordance with federal requirements for every entity 
to have a policy allowing up to 12 weeks of unpaid leave during any calendar year for specific 
reasons outlined in the policy. 

It Was moved, seconded and 



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VOTED: To recommend that the Board approve the Family Leave Policy as contained in 
Doc. T93-123. 

University Controller Janet Wanczyk and Mr. John Gabranski, Senior Partner from Coopers 
and Lybrand presented the FY 1993 Financial Report . Of considerable note is that this is the 
third year the University has met the deadline established by the State Comptroller. 



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Ms. Wanczyk reviewed in detail the highlights of the financial statement noting year to year 
changes and important financial ratios. She particularly highlighted the significant year to year 
change in operating deficits and surpluses from FY1991 to 1992 to 1993. This shows that the 
state's accounting decisions and accrued liabilities have a substantial distortive affect on the 
operating revenues. It was suggested this be highlighted. 

In concluding her report, she thanked the fiscal officers at the campuses for their efforts in 
preparing this information. This would not be possible without the efforts of the fiscal officers on 
the campuses. 

Mr. Gabranski distributed a communication memo dated November 23 and then reviewed it 
in detail. He indicated that an unqualified opinion had been issued and highlighted the $27 
million charge in workman's compensation. 

He noted that FASB has recently adopted standards for financial statements of Not-for Profit 
Organizations effective for the year ending June 30, 1996. FASB will significantly change the 
format of not-for profit financial statements. This is an issue which may impact the University in 
two years. To date, G ASB has not commented on the applicability of FASB to public educational 
institutions. He also reviewed the footnote disclosures and identified significant items including 
Worker's Compensation and Worcester Campus Memorandum of Understanding regarding 
fringe benefits. 

President Hooker thanked Ms. Wanczyk and her staff for the work they completed 
sometimes in difficult circumstances. 

It was moved, seconded and 

VOTED: To recommend that the Board accept the FY1993 Financial Report as contained in 
Doc.T93-110. 

Vice President Lenhardt gave an update on the status of the University's Capital Financing 
and the amendment to the HEFA legislation which is needed to be able to issue the bonds. The 
amendment is currently being debated before the Legislature, and it is hoped that it will pass no 
later than this calendar year and the bonds can be issued. 

Vice President Lenhardt then asked Chancellors Scott, Cressy and Hogan to speak about their 
respective new projects. Chancellor Scott spoke about the Center for Real-Time and Intelligent 
Complex Computing Systems (CRICCS) in the context of the new guidelines for new 
construction. 

A study was conducted by the Aberdeen Group in February, 1993 which identified the need 
for a Center that would unite research in the computer science department with applied research 
and collaboration with industrial affiliates. The facility would be designed to facilitate interaction 
between the University and industry and help create a modern image of the land grant 
university. The current total project cost is $15,000,000 and has been proposed to include 50% 
from state "economic development" funds and 50% from the University bond issue. 

Chancellor Cressy distributed background material and spoke about the Center for Marine 
Science and Technology and the Advanced Technology Center for Business Textiles & 
Manufacturing. The mission of the Laboratory is to stimulate economic development, focus and 
strengthen graduate research, strengthen teaching capability, strengthen relationships with 
external agencies and support aquaculture initiatives. He spoke about the direct grant funding to 
support this program and outlined estimates of the first year operating budget. p 



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The Advanced Technology Center for Business Textiles & Manufacturing will provide 
excellence in business, textile, manufacturing education and applied research by integration with 
key engineering functions. The total budget for the project is estimated at $13.9m. This project 
will be presented for formal approval at a subsequent meeting. 

Trustee Haynes spoke of the benefit of these projects to the Massachusetts economy and that 
to the maximum extent possible the University should ensure this as a general operating 
principal. 



Chancellor Hogan then spoke to the Institute for Massachusetts Partnering and 
Commercialization of Technology (IMPACT) at Lowell. This program represents a new model 
for educating young people, to integrate them into the new forces that exist in the world. What is 
proposed is a building of 100,000 square feet into which will be moved centers focused on 
materials. At times the individual firms and the University would be doing things independently 
and at other times they would form binding partnerships to go to market, sharing technology, 
sharing equipment and sharing people. It is a new model of passing off the technology so that 
products can be developed quickly and in the process change the way we educate young 
managers and engineers who are later going to practice that interaction. In terms of operating 
cost, the campus proposes it will be self-sustaining. It would need approximately $5m in funded 
research to support the operating costs. 

Vice President Lenhardt said in the context of the proposals over 70% of the capital program 
is dedicated to health and safety and 20% to economic development and these are three of those 
projects. He added that the Medical Center was not included in the presentations and will make 
its recommendation to the established Task Force. It was moved, seconded and 



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VOTED; To recommend that the Board approve the following projects: 

•The Center for Real-Time and Intelligent Complex Computing Systems 

(CRICCS), MASS Amherst 

•The Center for Marine Science and Technology, UMASS Dartmouth 
•The Institute for Massachusetts Partnering and Commercialization of Technology 

(IMPACT), UMASS Lowell (Doc. T93-118, Addendum 5) 



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Vice President Lenhardt then reported on the actions taken by the Investment Subcommittee 
which heard a report on investment results from 1993 and was satisfied with the results. He 
commended Mr. Marquis, Associate Treasurer on the performance results. Secondly, the 
Committee had agreed that the investment policy would be revised to allow for an average 
maturity of not to exceed 5 years such that any purchased security would not have a final 
maturity of more than 10 years. 



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It also voted to remove all South African restrictions. 



It was moved, seconded and 



VOTED : To recommend that the Board accept the FY1993 Treasurer's Investment Report 
as contained in Doc. T93-111. 



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And further, 
VO TED: 



To recommend that the Board amend the University of Massachusetts Cash 
Management Policy by striking the following: 



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Restrictions : 

(1) The University will purchase only investments with a remaining maturity of I 

five (5) years or less, except that obligations underlying a repurchase agreement 

have a final maturity of more than five (5) years. 



And adding: 



And further, 



Restrictions: 

(1) The University will invest the portfolio such that the weighted average 
maturity of the portfolio does not exceed five years, provided, however that the 
University will purchase only investments with a remaining maturity of ten (10) 
years or less. 



VOTED : To recommend that the Board, subject to the President's final determination, 
amend the University's Cash Management Policy by striking out Section IV, 
paragraph 6, (Doc. T92-031, Appendix F, as amended) and renumbering the 
remaining paragraphs in Section IV. Further, to strike similar language, as 
appearing in Doc. T90-056A and in any other policy (or part thereof) currently in 
effect in the University which is inconsistent herewith. 

President Hooker noted that one of the items discussed by the Investment Committee was 
the practice of many public Universities which do not have large endowments of taking the 
retained earnings and transferring them into a quasi endowment. Trustee Oakes asked the 
administration to prepare a proposal to create quasi endowment which will be coming forward to 
the Board within the next two meetings. 

The next item on the agenda was the Self-Insurance Program at the Medical Center. 
General Counsel Kirby outlined the changes to the program which increase coverage for 
professional liability from $1,500,000 to $3,000,000, change the format to follow the form of an 
insurance policy and adds an exclusion for any liability on account of a sexual assault by a 
physician. 

. It was moved, seconded and 

VOTED: To recommend that the Board approve the Self-Insurance Program at the 
University of Massachusetts Medical Center as contained in Doc. T93-126. 

Under discussion items, Vice President Lenhardt provided an update to the Committee of the 
FY 1995 State Budget Request which the Board authorized at the October meeting. The request 
will be sent to the Higher Education Coordinating Council. 

For their information, the Committee was presented with the First Quarterly Financial 
Report for the period ending September 30, 1993. 

The last item was the Minutes of the June and September meetings of the Hospital 
Management Board Finance Committee. 



There being no further business to come before the Committee, the meeting adjourned at 3:50 
p.m. 

Cynthia A. Fontaine &>U. 

Secretary to the Board of Trustees 



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♦ 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, February 2, 1993; 3:00 p.m. 

Board Room 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Vice Chair Karam; Trustees DiCara, Foley, Lewenberg, 
Newnan, Poduska, Solomont, Spence and Taylor; Chair Oakes; Mrs. Fontaine, Secretary to the 
Board of Trustees 






Committee Member Absent : Trustees Finnerty and Robertson 

Other Trustees : Trustee Bok 

University Administration : President Hooker; General Counsel Searson; Vice President 
Lenhardt; Chancellors O'Brien, Penney, Deck, Hogan and Lazare 

In Chair Oakes' absence, Vice Chair Karam convened the meeting at 3:22 p.m. 

The first item on the agenda was Delegation of Authority for Appointments. President 
Hooker explained that this recommendation was intended to streamline routine agenda items. 
The President would have the authority to re-delegate to the Chancellors, the authority to 
appoint Vice Chancellors, Provosts and Deans. There was a question about how comparable 
institutions handle this issue, and President Hooker commented that it varied from institution to 
institution. There was then a lengthy discussion concerning the appointment process and the 
depth and quality of searches conducted on the campuses. 

Trustee Bok expressed that in his opinion it was the responsibility of the Trustees to see 
whether the institution is going about this issue in the right way; Trustees should be provided 
with some information about how searches are conducted and how much effort is made to look 
at diverse groups. 

After discussion, it was suggested that the Board be made aware of the process by which 
these appointments are made and the following motion was made and seconded: 

To recommend that the Board delegate to the President, with authority to 
re-delegate solely to the Chancellors, the authority to appoint Vice 
Chancellors, Provosts, and Deans of their respective campuses without 
further approval. Further, to amend the Governance Document (Doc. 
T73-098, as amended) by deleting from the first sentence of Section II. 
C.3. the words "with the concurrence of the President and the Board of 
Trustees" and inserting in place thereof the words "upon delegation by 
the President." Any policies, rules or regulations (or any part thereof) 
currently in effect in the University which are inconsistent herewith are 
hereby rescinded. (Doc. T93-018) 

The motion was defeated and an amendment was made to require that all appointments 
be "subject to the President's approval." It was then moved, seconded and 



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VOTED : To recommend that the Board delegate to the President, with authority to 

re-delegate solely to the Chancellors, the authority to appoint, subject to 
the President's approval, Vice Chancellors, Provosts, and Deans of their 
respective campuses. Further, to amend the Governance Document 
(Doc. T73-098, as amended) by deleting from the first sentence of Section 
II. C.3. the words "with the concurrence of the President and the Board of 
Trustees" and inserting in place thereof the words "upon delegation by 
the President." Any policies, rules or regulations (or any part thereof) 
currently in effect in the University which are inconsistent herewith are 
hereby rescinded. (Doc. T93-018) 

Trustee Bok emphasized the need to have a professional process in place. It was further 
suggested that the Board be notified of key appointments and a report submitted to the Board 
regarding compliance with the Board's guidelines. 

The next item was the Delegation of Authority of Professional Leave Obligation . This 
would delegate to the Chancellors the authority to waive any service obligation to return to the 
institution following sabbatical or professional improvement leave for all professional staff. It 
was moved, seconded and 

VOTED : To recommend that the Board delegate to the President, with authority to 

re-delegate to the Chancellors, the authority to waive for all professional 
staff any service obligation following professional improvement leave. 
Further, to amend the Personnel Policy for Professional Non-Academic 
> Staff (Doc. T73-090, as amended) by deleting from the last sentence in 

Paragraph F of the "Professional Improvement" Section the words "the * 

Board of Trustees" and inserting in place thereof the words "an 
authorized officer of the University." Any policies, rules or regulations 
(or any part thereof) currently in effect in the University which are 
inconsistent herewith are hereby rescinded. (Doc. T93-019) 

The next item on the agenda was the Department of Defense Exclusion List . This 
updates a vote approved by the Board in June by excluding Trustee Derek Bok, access to all 
classified contracts. It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, current Department of Defense Regulations contain a 
provision making it mandatory that the Chairman of the Board, the 
President, and the Secretary, meet the personnel clearance requirements 
established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the 
exclusion from the personnel clearance requirements of certain members 
of the Board of Trustees and other officers, provided that this action is 
recorded in the minutes. 

NOW THEREFORE BE IT DECLARED that the Chairman of the Board, 
the President, and the Secretary, at the present time do possess, or will be 
processed for, the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon w 

any duties as Chairman of the Board, the President, or Secretary, such 

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individual shall immediately make application for the required security 
clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board 
of Trustees and other officers, shall not require, shall not have, and can 
be effectively excluded from access to all classified information in the 
possession of the corporation and do not occupy positions that would 
enable them to affect adversely policies or practices in the performance 
of classified contracts for the Department of Defense or the User 
Agencies of its Industrial Security Program: 



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Daniel E. Bogan 


Trustee 


Derek C. Bok 


Trustee 


Lawrence S. DiCara 


Trustee 


Joseph S. Finnerty 


Trustee 


Heriberto Flores 


Trustee 


Michael T. Foley, M.D. 


Trustee 


Robert J. Haynes 


Trustee 


Robert S. Karam 


Trustee 


Peter K. Lewenberg 


Trustee 


David Loh 


Trustee 


Ogretta V. McNeil 


Trustee 


Keith E. Neal 


Trustee 


Kevin Newnan 


Trustee 


James F. O'Leary 


Trustee 


John William Poduska, Sr. 


Trustee 


Mary L. Reed 


Trustee 


Piedad F. Robertson 


Trustee 


Alan D. Solomont 


Trustee 


Rina K. Spence 


Trustee 


Daniel A. Taylor 


Trustee 


Kevin Tobin 


Trustee 


Frank J. Vittimberga, Jr. 


Trustee 




(Doc. T93-020) 




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The next item on the agenda was A pproval of the Hospital Management Board 
Minutes . Trustee Foley reported that the University has officially accepted property of the 
Worcester City Hospital. He also reported that there is some concern regarding the cash reserve 
at the Medical Center which has resulted from several causes; overall decrease volume in services 
provided and residual effects from the furlough and fringe benefits issues. There have also been 
delays in state Medicaid reimbursement to the Hospital. 

Trustee Foley then informed the Committee that the Joseph Benedict Ambulatory Care 
Building is open and hopes the Trustees will be able to tour the Center in the future. It was 
moved, seconded and 



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VOTED: 



To recommend that the Board approve the minutes of the 
November 18th, 1992 Hospital Management Board including the 
Unaudited Financial Statement for October, 1992. (Doc. T93-007) 



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The next item was Honorary Degrees . Vice Chair Karam asked for a motion to go into 
Executive Session. It was moved, seconded and 

VOTED : To go into Executive Session. 

The time was 4:00 p.m. Vice Chair Karam voted for the motion as did Chair Oakes, Vice 
Chair Taylor, Trustees DiCara, Foley, Lewenberg, Newnan, Poduska, Solomont and Spence. 

At 4:45 p.m. the Committee came out of Executive Session and it was moved, seconded 

and 

VOTED : To recommend that the Board award honorary degrees to those 

individuals agreed upon in Executive Session and to instruct the 
Chancellors to proceed with the necessary arrangements. 

The meeting adjourned at 4:47 p.m. r 

Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON • DARTMOUTH • LOWELL •WORCESTER 

MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, April 6, 1993; 3:00 p.m. 

Administration Building 

Board Room 

University of Massachusetts 

Dartmouth, Massachusetts 

Committee and Committee Staff : Chair Oakes; Trustees DiCara, Finnerty, Foley, Karam, 
Lewenberg, Newnan, Spence and Taylor; Mrs. Fontaine, Secretary to the Board 

Committee Members Absent : Trustees Poduska, Robertson and Solomont 

Other Trustees : Trustees Bok, Flores, Haynes and Loh 



University Administration : President Hooker; Vice Presidents Boyd and Lenhardt; General 
Counsel Kirby; Chancellors O'Brien, Deck, Hogan and Lazare; Vice Chancellor MacCormack 

Chair Oakes convened the meeting at 3:08 p.m. The first item on the agenda was the 
Policy on Naming Building s. President Hooker explained to the Committee the need for a new 
campus-wide policy to determine a set of guidelines when naming a University building. The 
Board may want to consider referring this issue to an Ad Hoc Committee. Some of the 
guidelines to be considered include restricting the honor to those providing endowment gifts, 
refraining from the naming of buildings to living people, and honoring those people that have 
served the University with distinction. It was suggested that the Committee name the buildings 
before them today and that the policy issue be brought back to the Committee for action at a later 
date. 



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Chancellor O'Brien explained to the Committee the significant contributions to the 
campus Dr. Robert Gage had made over the years and as a major force in building the University 
Health Center. He was therefore recommending it be named for its founder, Dr. Gage. 

Vice Chancellor MacCormack asked that the Astronomical Observatory on the Boston 
campus, be named for the Observatory's primary designer and director until his death, Dr. 
Arthur Martin. 



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It was moved, seconded and 



VOTED: 



and further, 



To recommend that the Board name the University Health Center at 
UMASS Amherst in honor of its founder, Dr. Robert Gage; 



To recommend that the Board name the Astronomical Observatory at 
UMASS Boston in honor of its primary designer and late Director, Dr. 
Arthur Martin. (Doc. T93-040) 

The next item was the Amendment to the By-Laws of the University of Massachusetts 
Hospital . It was moved, seconded and 



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VOTED: 



To recommend that the Board approve the amendments to the By- 
Laws of the University of Massachusetts Hospital as described in Doc. 
T90-055B. 



The next item on the agenda was the Statement of Strategic Priorities . President Hooker 
spoke to the Committee about efforts to create a strategic plan for the University. He has asked 
Paul Marks and Daphne Layton to put forward a charge to the campuses to identify particular 
strategic priorities. They have come up with some draft documents that have been shared with 
the campuses and need more discussion. They include: 

• Statement of Strategic Priorities - this proposes that UMASS commit itself as a system to three 
priorities during the coming decade: 1) diversity and pluralism, 2) economic development, and 3) 
undergraduate education; 

• Framework for Strategic Planning - this document describes the four elements of system-level 
strategic planning: 1) vision, 2) strategic priorities, 3) campus profiles, and 4) the system; 



•Campus Guidelines for Strategic Planning - the campuses are asked to develop goals and indicators 
that reflect their vision for becoming the best public university of their kind and address the 
system-wide strategic priorities. 

President Hooker then went on to say that his intent is to have this issue on every 
Executive Committee as a standing agenda item so that Trustees are involved in the process. 



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Chair Oakes reiterated the fact that the University needs to have a plan and that these 
draft documents are a good jumping off point. The Board also needs to spend alot of time on 
these issues and expects this to be a major topic at the upcoming Board Retreat. 

There was then discussion about revising the Statement of Strategic Priorities Document 
#3 from undergraduate education to undergraduate/graduate education. President Hooker felt 
it was important for the faculty members to know we support the importance of research on each 
campus. So we have added rather than subtracted without taking away the emphasis on 
undergraduate education. 



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Members of the Committee then made several observations: 

1) Focusing on undergraduate is important but there needs to develop the graduate level 
a little further; 



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2) adding graduate education makes sense but we need to make a statement about 
quality education; 

3) the need to revisit the University/campus mission statements and the need to 
emphasize that UMASS will provide quality education to every one despite financial burden;. 

4) the need for meaningful dialogue with the faculty in the direction the University takes 
regarding research; 



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There was then a lengthy discussion on how the University /Trustees should proceed. 
Chair Oakes said that while there is general agreement to keep the emphasis on quality 
education, the administration needs to come back to this Committee with a revised plan outlining 
some of the Trustees' concerns. It was suggested that the Chair establish an ad hoc Strategic 
Planning group of several Trustees to work with the President's Office and the campuses. 



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The next point discussed was the University's involvement in economic development. 
There was a consensus that economic development is the key element that separates us from the 
private institutions and as the economy changes so should the University. Through training, 
research and development, the University should act as a driving force for economic growth for 
the citizens and industries of the state. 

It was also pointed out that while the importance of economic recovery cannot be overly 
stressed, the need to maintain the arts in the system is just as important. 

Chancellor Hogan expressed the opinion that lifelong networking with graduates of the 
University must be stressed and that the University become deeply involved within the 
community to help the economy renew itself. 

The Committee then discussed the Diversity and Pluralism issue. The University's desire 
is to increase cultural diversity on each on its campuses and support the curriculum to reflect the 
diversity of today's world. 

It was suggested that the University spell out in concrete, ways to deal with the racial 
climate on campuses and agree on a set of priorities, then ask the campuses to come back with a 
specific plan on how to implement these goals. Diversity is a measurable goal that should 
enhance the educational experience. 

In summary, the Statement on Strategic Priorities is a very important step for the 
University and the ad hoc committee to be appointed by the Chair will work on the draft 
document and come back to this Committee in June to be acted on by the Board. It was also 
suggested that the President's Office do some peer comparison to see if the right questions are 
being asked and whether or not we are moving in the right direction. 

The next item was the A pproval of the Hospital Management Board Minutes . Trustee 
Foley reported on the last meetings of the Hospital Management Board. Some of the issues 
discussed included the By-Laws changes, the Finance Committee's recommendation to terminate 
the third bid process on the patient accounting system based on non-compliance with required 
standards and the discussions with the Group Insurance Commission's recent decision to select 
HMB/Blue for state employees and they will not renew the contract with CMHC. The 
Commission was told about the concern over the need to be able to offer health services to our 
own employees. 

It was then moved, seconded and 



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VOTED: 



To recommend that the Board approve the minutes of the January 27, 
and February 24th, 1993 Hospital Management Board including the 
unaudited financial statements of November and December, 1992 and 
January, 1993, and the Medical Staff Appointments and 
Reappointments for November and December, 1992 and January, 1993. 

Further, to support the Finance Committee's recommendation to 
terminate the third bid process on the patient accounting system based 
on non-compliance with required standards. 



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And further, to accept the revised Clinical Privilege Forms on 
Delineations for Emergency Medicine and Hospital Labs/Clinical 
Pathology. (Doc. T93-038) 



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The next item was Honorary Degrees . Chair Oakes asked for a motion to go into 
Executive Session. It was moved, seconded and 



VOTED: 



To go into Executive Session. 



The time was 5:10 p.m. Chair Oakes voted for the motion as did Trustees DiCara, 
Finnerty, Foley, Karam, Lewenberg, Newnan, Spence and Taylor. 



and 



At 5:20 p.m. the Committee came out of Executive Session and it was moved, seconded 



VOTED: 



To recommend that the Board award honorary degrees to those 
individuals agreed upon in Executive Session and to instruct the 
Chancellors to proceed with the necessary arrangements. 



The meeting adjourned at 5:20 p.m. 




XL^UMIL 



Barbara DeVico 
Staff Assistant 




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UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE SPECIAL MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, May 4, 1993; 3:00 p.m. 

President's Office 

18 Tremont Street 

Boston, MA 02108 

Committee and Committee Staff : Trustees DiCara, Foley, and Taylor; Mrs. Fontaine, Secretary to 
the Board 

Committee Members Absent : Chair Oakes, Trustees Karam, Lewenberg, Poduska, Spence, Finnerty, 
Newnan, Robertson and Solomont 

Other Trustees: Trustees Bok 



University Administration : President Hooker; Vice Presidents Boyd and Story; General Counsel 
Kirby 



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The meeting was called to order at 3:10 p.m. with President Hooker expressing appreciation and 
thanks to those members in attendance. He then addressed the issue before the Committee which 
was to deal with compensation for the new Chancellors at Amherst and Dartmouth. He distributed a 
copy of a compensation study for chancellors of the UMASS system prepared by the Academic 
Search Consultation Service and indicated that the salaries set would be within the ranges 
recommended. He added that at a later time he would be making recommendations for the other 
chancellors. There was discussion of the survey. 

President Hooker then spoke about his recent site visits and the positive conversations about the 
recommended candidates. 



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There was also discussion about the events which will happen to introduce the candidates to the 
campus community and public relations efforts. The Committee suggested that the Search 
Committees be invited to participate in those events and be appropriately thanked. 



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There being no further business to come before the Committee, the meeting adjourned at 3:45 p.m. 




Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, June 1, 1993; 3:00 p.m. 

Cumnock Building 

Board Room 

University of Massachusetts 

Lowell, Massachusetts 

Committee and Committee Staff : Chair Oakes; Trustees DiCara, Finnerty, Foley, Karam, Lewenberg, 
Newnan, Poduska, Spence and Taylor; Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Members Absent : Trustees Robertson and Solomont 



Other Trustees : Trustees Flores, Haynes and Loh 

University Administration : President Hooker; Vice Presidents Boyd, Chmura and Lenhardt; General 
Counsel Kirby; Chancellors O'Brien, Penny, Deck, Hogan and Lazare 

Chair Oakes convened the meeting at 3:05 p.m. The first item on the agenda was a Report on 
Economic Development . Vice President Chmura talked about the report distributed, including specific 
activities that the President's Office and campuses have taken on since the last report in April. 

In speaking of the needs of the environmental technical industry and the developing relationship 
with the Environmental Business Council, he announced that Professor Jack Archer from the 
Environmental Sciences at UMASS Boston would be working with the President's Office to help 
develop an overall strategy. This strategy will help support the development of that industry through 
education, training, etc. 

Some of the other economic development initiatives he spoke about include the difficult challenge 
of Defense Conversion and issues of patent policies and conflict of interest which General Counsel 
Kirby is preparing an "issues paper" on. 

There were then questions from Committee members concerning a calendar for some of these 
activities and the feasibility of inputting some of this information on a computerized database. 
President Hooker added that as part of the strategic planning process, a large part of the focus will be in 
the area of economic development and there will be a group in charge of benchmarks and assessing the 
progress of each project. 

The next item discussed was Strategic Planning . President Hooker recommended approval for the 
Statement of System Priorities and Campus Guidelines for Strategic Planning. Chair Oakes explained 
that, as a result of the discussion at Dartmouth in April, a group of Trustees had been asked to serve 
with the Chancellors to discuss the overall document and the process. The Statement of System 
Priorities is a result of those discussions. President Hooker said that there has been a great deal of input 
from many Trustees and thanked Trustee Bok for his input and wisdom in putting the document 
together. 

Trustee Finnerty then asked for some examples of what the process will be in achieving the four 
challenges listed in the Statement of System Priorities. President Hooker explained that the single 
greatest challenge facing this country in a competitive global economy, is coming to terms with 



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challenges given to us within our pluralistic society. The University must develop student bodies that 
are more reflective of the cultural, racial, ethnic and gender diversity of the United States, which means 
we must develop programs that are designed to challenge students to appreciate diversity and living 
comfortably with each other. He pointed out Chancellor Penney's work in the area of promoting 
diversity and how UMASS Boston is now involved in creating an Asian American Studies Center. 

President Hooker told the Committee that this issue will be on the Executive Committee agenda at 
each meeting and that the informal group of Trustees working on this plan will continue to meet with 
the Chancellors to hear reports on how the process is going on the campuses. He also pointed out that 
the Chancellors will keep in touch with the students on what is working and what is not working on 
campus. 

It was then moved, seconded and 

VOTED : To recommend that the Board approve the Statement of System Priorities 

and the Campus Guidelines for Strategic Planning as contained in Doc. T93-039A. 

The next item was the Honorary Degree Policy . Chair Oakes explained that a subcommittee had 
been formed, chaired by Trustee Taylor, to draft an Honorary Degree policy that would reflect the five 
campus system as well as address some issues the Board had with the former policy. Trustee Taylor 
reported that the Committee had met and then highlighted the essence of the report as well as the 
substance and process. The Committee, he explained, was motivated by the notion that Honorary 
Degrees can be used by the campuses to give substance to the method by which they seek to achieve 
their mission. 

He went on to report that the Committee had decided that current players, such as Trustees, faculty 
members and public servants, would not be eligible for an honorary degree until they leave the post a 

they are sitting in and that there are other ways for the campuses to honor people in public life such as 
Chancellor's Awards. 

It was also agreed that an honoree from one campus could be still be honored at another campus. 
In terms of process, all nominations should be submitted to the Board no later than October 15th of each 
year and all nominations should go through the Executive Committee. Once the nomination is 
approved, it will be up to the Chancellors to determine how nominees are approached. In addition, the 
names of nominees who have been approved but are not able to receive a degree at that particular 
commencement will be placed on a list for two years, after which time the name will come back to the 
Board for re-approval. 

There was then discussion by the Committee about the October 15th deadline, as well as the 
excluded categories. It was agreed to change the time frame to six months before the event. It was 
then moved, seconded and 

VOTED : To recommend that the Board approve the University Policy on 

Awarding Honorary Degrees as contained in Doc. T93-060. Further, to 
rescind Doc. T91-130 as amended, and all other policies (or any part 
thereof) currently in effect in the University which are inconsistent herewith. 

The Policy on Naming Building s was the next item discussed. Vice President Boyd reported to the 
Committee that he has been looking at the current Board policy that focuses on the process of naming 
buildings. In the past ten years, buildings have been named by the Legislature, by the Board for service 
to the University and, in a few cases, as a result of funds that came into the University. 

He suggested the University-wide capital campaign should also link naming of buildings to 
monetary gifts and the specific size of such a gift. To work out such details, Vice President Boyd 



. 



suggested a subcommittee of the Board be created to come back at the next meeting with specific 
recommendations on dollar amounts and criteria and the development fund-raising opportunities that 
are involved. 

After discussion among Committee members concerning the larger question of future development 
activities it was agreed that a subcommittee be established. It was moved, seconded and 

VOTED : To recommend that the Board establish a subcommittee of the Board to 
make recommendations on a University Naming Policy; provided, that 
the Committee's recommendations shall be considered in the context of the University's 
future development activities. 



The next item discussed was Hospital Management Board Minutes . Trustee Foley reported that at 
the May 7, 1993 meeting, the President of the Massachusetts Hospital Association had been invited to 
speak on the status of health care in the state. Trustee Foley pointed out some recent issues, including 
the Group Health Insurance Commission's decision to exclude a Central Massachusetts HMO from 
state employees and replace it with HMO Blue, which does not do business at the Medical School. The 
Medical School was able to abort this spontaneous move, but the larger issue is the need to talk about 
the Medical School's strategic plan and what direction the Medical School should be taking, as well as 
what kind of support they need from the Board. 

Chair Oakes pointed out the fact that the Board needs time to study the issues facing the Medical 
School. Trustee Karam suggested the next Committee/ Board meetings scheduled in August at the 
Medical Center would be an appropriate time for them to have a strategic presentation and explore the 
many possibilities facing the Medical School. It was agreed that a schedule would be worked out for 
the August meeting. It was then moved, seconded and 



3d 



VOTED : To recommend that the Board approve the minutes of the March 24 and 
April 28, 1993 Hospital Management Board including the unaudited 
Financial Statements of February and March, 1993 and the Medical Staff 
Appointments and Re appointments for February, March and April, 1993. 

And further, to grant conditional approval by the Hospital Management 
Board for Appointments and Reappointments to the Medical Staff 
recommended by the Hospital Executive Committee for July, August, 
and September, 1993 pending final approval by the Hospital 
Management Board at its September meeting. (Doc. T93-056) 

The next item on the agenda was Executive Compensation . President Hooker spoke about the 
materials that had been provided to the Committee by the Academic Search Consultation Service. 
From this data, it is clear that the current compensation levels at our campuses fall below the national 
median for Chancellor compensation and President Hooker informed the Committee that he will be 
bring salary adjustment recommendations to the next meeting. 

Trustee Newnan then introduced Mr. Al Lizana, the newly-elected student Trustee from the 
Amherst campus. Trustee Poduska then recognized Trustee Newnan's outstanding service to the 
Committee and the Board for the past two years. 



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There being no further business, the Committee adjourned at 5:00 p.m. 




Barbara DeVico 
Staff Assistant 



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-3- 



( 






UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON •DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, August 10, 1993; 3:00 p.m. 
Seminar Room - Third Floor 

BioTech Park II 

University of Massachusetts 

Worcester, Massachusetts 

Committee and Committee Staff : Chair Oakes; Trustees DiCara, Finnerty, Foley, Karam, 
Lewenberg, Solomont and Taylor; Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Member Absent : Trustee Robertson 

Other Trustees : Trustees Cunningham, Dickson, Flores, Haynes, Lizana and Siegmann 



University Administration : President Hooker; Vice Presidents Lenhardt, Story, Sessoms, Boyd 
and Chmura; General Counsel Kirby; Chancellors Scott, Penney, Cressy, Hogan and Lazare 

Chair Oakes convened the meeting at 3:08 p.m. and noted that the agenda before the 
Committee was different in that it was broken down into policy, action and discussion items. The 
first action item under Policy was Executive Compensation . President Hooker recommended 
that the Committee approve the extension of the Compensation Policy for the President and the 
Chancellors to include the UMASS Dartmouth and UMASS Lowell campuses. It was moved, 
seconded and 

VOTED : To recommend that the Board adopt the Executive Compensation package for 
University President and Campus Chancellors as contained in Doc. T93-062. 



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Trustee Solomont then raised a question about Executive Compensation, questioning the 
President about dealing with the issue concerning Chancellors whose salaries fall below the scale 
recommended by the consultant. President Hooker indicated that he would be bringing a 
recommendation to the next meeting which would bring those Chancellor's salaries in line with 
the Compensation study provided by the Consultant. 



> 
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The next item was Review and Evaluation of University Personnel . President Hooker said 
that the University has formal review processes in place for faculty, classified personnel and non- 
unit professionals. It was recommended that the Executive Committee establish a policy 
regarding the review and evaluation of senior personnel. President Hooker said that maximum 
input from all sectors of the campuses would be sought, but the review itself would be done by 
an outside team. Trustee Siegmann asked that in the review of the President, consideration be 
given to adding a student Trustee to the established Committee. 



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S 



Trustee Bok raised a concern about the criteria and suggested that a key responsibility for 
anyone in charge of an academic institution is the academic quality, quality of its teaching, its 
faculty and its research. It was agreed to incorporate into the criteria clear recognition of the 
importance of academic quality of teaching, faculty, research and service. It was then moved, 
seconded and 



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VOTED : To recommend to the Board that all senior administrators of the University shall 

receive regular performance review and evaluation; and, further, that the President is 
directed to establish guidelines for the regular review and evaluation of senior 
administrators of the University; provided that said guidelines include a clear 
recognition of the importance of academic quality and quality of teaching, research and 
service. (Doc. T93-080) 

The next item was Coordination with State and Federal Governments. President Hooker 
explained that this was an item before the Board last year and after working with the campuses 
for a year he is asking the Committee to pass this policy. Its intent is to make sure the University 
speaks with a common voice with the Legislature and the Federal Government and that the 
President's Office coordinate lobbying activities. This was no way intended to reduce the level of 
lobbying that takes place generated by the campuses, but to make sure there is a coordinated 
effort. The thought was expressed that the key to making this work with all university segments 
is the strengthening of the relationships with the Chancellors. It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, it is essential that University interactions with executive and legislative 
branches of the state and federal governments be carefully planned and coordinated; 

WHEREAS, it is the role of the President's Office to coordinate University planning 
and policy development, including budget and legislative strategy, and to represent the 
University to these outside constituencies; 

NOW, THEREFORE, BE IT RESOLVED that employees of the University, acting in an 
official capacity, shall engage in such planning and policy development discussions 
with these outside constituencies only in coordination with appropriate personnel in 
the President's Office. 

The next item on the agenda was consideration of the Hospital Management Board Minutes . 
Mr. George McClelland, Chair of the Finance Committee of the Hospital Management Board was 
available at the meeting. Chair Oakes then asked Mr. McClelland to make any comments to 
supplement the minutes or to bring any issues to the Committee's attention. Mr. McClelland 
reported that the Hospital had had a good month, accruing a surplus larger than budgeted this 
year, but there continues to be a cash flow issue. The Board also heard a report relative to the 
look from a clinical standpoint of the practices, which is a first attempt to bring on line a cost 
accounting system. After discussion, it was moved, seconded and 

VOTED : To recommend that the Board approve the minutes of the May 21 and June 23 Hospital 
Management Board Meetings including the Unaudited FinanciaStatement for April 
and May, 1993; the proposed appointments and reappointments for May, 1993 and the 
amendments to the Medical Staff By-Laws as contained in Doc. T93-081. 

Chair Oakes thanked Mr. McClelland for being with the Committee and for his efforts with 
the Hospital Management Board on behalf of the University. 



C 



-2- 



The next item was the Department of Defense Resolution for Exclusion of Certain 
Directors or Officers . It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, current Department of Defense Regulations contain a provision making it 
mandatory that the Chairman of the Board, the President, and the Secretary, meet the 
personnel clearance requirements established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from the 
personnel clearance requirements of certain members of the Board of Trustees and 
other officers, provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the 
President, and the Secretary, at the present time do possess, or will be processed for, 
the required security clearance; and 



BE IT RESOLVED that in the future, when any individual enters upon any duties as 
Chairman of the Board, the President, or Secretary, such individual shall immediately 
make application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of Trustees 
and other officers, shall not have, and can be effectively excluded from access to all 
classified information in the possession of the corporation and do not occupy positions 
that would enable them to affect adversely policies or practices in the performance of 
classified contracts for the Department of Defense or the User Agencies of its Industrial 
Security Program: 



NAME 

Daniel E. Bogan 

Derek Bok 

David Cunningham 

Lawrence S. DiCara 

Eric Dickson 

Joseph S. Finnerty 

Heriberto Flores 

Michael T. Foley, M.D. 

Robert J. Haynes 

Robert S. Karam 

Peter K. Lewenberg 

Al Lizana 

Ogretta McNeil 

James F. O'Leary 

John William Poduska, Sr. 

Mary L. Reed 

Piedad F. Robertson 

Stephanie Siegmann 

Alan D. Solomont 

Rina K. Spence 

Daniel A. Taylor 

Kevin J. Tobin 



TITLE 

Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 



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(Doc. T93-082) 



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The next item was an added item to the agenda. Chancellor Penney requested the Committee 
increase the daily Parking Fee from $3.00 to $3.50 per day and to extend the $3.50 per day charge 
to Saturday parking. This item was necessitated by the current budget situation. This would 
allow the campus to off-set some appropriate utility, maintenance, snow removal and public 
safety expenses now supported with other general operation funds. She added that the campus 
would try to work out several discounted arrangements for frequent parkers. There was a 
discussion of the costs associated with the garage including depreciation and whether all costs 
were completely covered with the fee. It was moved, seconded and 

VOTED : To recommend that the Board approve an increase in the parking fee at UMASS 
Boston from $3.00 to $3.50 per day and to extend the $3.50 per day charge to 
Saturday Parking. (Doc. T93-084) 

Vice President Thomas Chmura then provided the Committee with an update on Economic 
Development Activities. He said that at the last meeting, he had outlined seven specific areas 
that the University was trying to work on at a system-wide level. Updating the Committee on 
what has happened over the last several months, he first mentioned that a system-wide group has 
been assembled and has begun to work over the summer as a system to look at the Governor's 
strategy and look at the Legislature's interest in economic development and is in the process of 
developing a university response. He said that there is alot going on in the University, and there 
is a need to better describe them and what will happen in the future. 

He reported that one way the emphasis that the President has placed in economic 
development has paid off, has been in the Governor's Capital Budget, where he has given a 
priority to economic development. The campuses have identified one significant economic 
development project, and in Dartmouth's case two, that will be brought to the Committee on 
Administration and Finance and the Economic Development Task Force. 

The third area, he spoke about was the Environment and how it relates to Economic 
Development. The University is continuing to work closely with the Environmental Council and 
the new Secretary of Departmental Affairs, Trudy Coxe. He added that the University was 
putting together a day long session this fall with Environmental Affairs so that the state can 
articulate its need for research, technical assistance and education programs and all our campuses 
will be bringing forward their capacities and begin to match and see how the University can 
respond better. 

The other special project that emerged with the Legislature this year, was a project with the 
City of Chelsea on establishing a center for new technologies that have to do with materials reuse 
and recycling. He also spoke about the collaboration efforts involved with the project with 
UMASS Boston, UMASS Lowell and a consortium of companies in Chelsea. That project is also 
going forward to seek federal monies. 

Another focus that the President has articulated that Vice President Chmura spoke about and 
that the campuses have participated in, was Defense Conversion. He spoke about efforts in 
Industrial Extension and that UMASS, if this project is successful, will be better positioned to 
serve the needs of and around the State. With regard to Advanced Transportation Technology, 
he updated the Committee on efforts with the Volpe National Transportation Center. 

Trustee Bok inquired as to how the University is going to demonstrate how much its done in 
this area and how it has benefited the Commonwealth. He said, the way most people do that is 
after two years they conduct an inventory and come in with a long impressive list and you look at 
it and you have a feeling these guys are trying to sell you something. Those calculations would 
have alot more creditability if set down with, for example Secretary Tocco, at the beginning as a 
set of criteria to track what the University is accomplishing. If bought into, it seems that when 



-4- 



. 



) 



you go to the Legislature, it would have a better hearing and may be a good way of tracking 
progress and building credibility with the state. President Hooker said that it is in progress both 
in the strategic planning process and in our efforts to build a set of components and criteria that 
the Legislature can be used to measure our progress both longitudinal and against our peers. 



There was then a discussion about the priority projects and funding to support these efforts. 
It was suggested that the newly formed Development and Legislative Relations Task Force 
become involved in this effort. 

The next item was a report on Strategic Planning given by President Hooker. He reported 
that the first meeting of the Five Campus Planning Group would be August 11 and that thereafter 
the six Task Forces will be starting their work. Chair Oakes reminded the committee that there 
were Trustee representatives on the Task Forces and that there would be alot of involvement in 
the process. 

Trustee Karam reported that the Development and Legislative Task Force has been 
appointed and has met with campus representatives. 



President Hooker then updated the Committee on the Non-Unit Staff Salary Increases . He 
reported that in consultation with the Chancellors, he has approved a schedule to give to all non- 
unit classified staff the full 7.25% increase given to unit personnel. For professional non-unit staff 
we've established a 4% merit pool and have approved increases in the range of - 9%. This will 
apply to people hired prior to July 1, 1992. 



o 



Professor Ernst May from UMASS Amherst pointed out the campus' concern regarding the 
exclusion of departments chairs and heads from the recent round of pay raises. He also noted the 
inconsistency since individuals, at UMASS Lowell and UMASS Dartmouth in equivalent 
positions who are included in the collective bargaining unit, will receive the increases. He urged 
the appropriate individuals to take some remedial action to make this situation whole, especially 
for those heads and chairs of small departments who receive a modest stipend in addition to their 
regular faculty salary. 

Chancellor Scott said that in these circumstances, it is the best approach one can take, but its 
important this not become a approach one takes repeatedly. 



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Trustee Solomont spoke about the equity and fairness of the situation and the belief that the 
policy was driven by equity. He indicated the need to be more responsive to this situation. 
Trustee Bok suggested that the compensation through the merit system should be factored into 
the decision when awarding merit. 



> 



The last item on the agenda was Executive Session . Chair Oakes called for a motion to go 
into executive session to discuss Honorary Degrees. He said the Board would not reconvene in 
open session. At 4:50 p.m., it was moved, seconded and 

VOTED : To go into Executive Session. 

Chair Oakes voted for the motion as did Trustees DiCara, Foley, Karam, Lewenberg, 
Solomont, and Taylor. 



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The meeting adjourned at 5:00 p.m. 




r* 




„ynthia A. Fontaine 
Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 



; . . 



AMHERST 'BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, August 10, 1993; 3:00 p.m. 
Seminar Room - Third Floor 

BioTech Park II 

University of Massachusetts 

Worcester, Massachusetts 

Committee and Committee Staff : Chair Oakes; Trustees DiCara, Finnerty, Foley, Karam, 
Lewenberg, Solomont and Taylor; Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Member Absent : Trustee Robertson 

Other Trustees : Trustees Cunningham, Dickson, Flores, Haynes, Lizana and Siegmann 



University Administration : President Hooker; Vice Presidents Lenhardt, Story, Sessoms, Boyd 
and Chmura; General Counsel Kirby; Chancellors Scott, Penney, Cressy, Hogan and Lazare 



to 
o 



Chair Oakes convened the meeting at 3:08 p.m. and noted that the agenda before the 
Committee was different in that it was broken down into policy, action and discussion items. The 
first action item under Policy was Executive Compensation . President Hooker recommended 
that the Committee approve the extension of the Compensation Policy for the President and the 
Chancellors to include the UMASS Dartmouth and UMASS Lowell campuses. It was moved, 
seconded and 

VOTED : To recommend that the Board adopt the Executive Compensation package for 
University President and Campus Chancellors as contained in Doc. T93-062. 



> 

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t- 1 
W 
H 

I— i 

o 

OS 



Trustee Solomont then raised a question about Executive Compensation, questioning the 
President about dealing with the issue concerning Chancellors whose salaries fall below the scale 
recommended by the consultant. President Hooker indicated that he would be bringing a 
recommendation to the next meeting which would bring those Chancellor's salaries in line with 
the Compensation study provided by the Consultant. 



> 
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o 



The next item was Review and Evaluation of University Personnel . President Hooker said 
that the University has formal review processes in place for faculty, classified personnel and non- 
unit professionals. It was recommended that the Executive Committee establish a policy 
regarding the review and evaluation of senior personnel. President Hooker said that maximum 
input from all sectors of the campuses would be sought, but the review itself would be done by 
an outside team. Trustee Siegmann asked that in the review of the President, consideration be 
given to adding a student Trustee to the established Committee. 

Trustee Bok raised a concern about the criteria and suggested that a key responsibility for 
anyone in charge of an academic institution is the academic quality, quality of its teaching, its 
faculty and its research. It was agreed to incorporate into the criteria clear recognition of the 
importance of academic quality of teaching, faculty, research and service. It was then moved, 
seconded and 



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VOTED : To recommend to the Board that all senior administrators of the University shall 

receive regular performance review and evaluation; and, further, that the President is 
directed to establish guidelines for the regular review and evaluation of senior 
administrators of the University; provided that said guidelines include a clear 
recognition of the importance of academic quality and quality of teaching, research and 
service. (Doc. T93-080) 

The next item was Coordination with State and Federal Governments. President Hooker 
explained that this was an item before the Board last year and after working with the campuses 
for a year he is asking the Committee to pass this policy. Its intent is to make sure the University 
speaks with a common voice with the Legislature and the Federal Government and that the 
President's Office coordinate lobbying activities. This was no way intended to reduce the level of 
lobbying that takes place generated by the campuses, but to make sure there is a coordinated 
effort. The thought was expressed that the key to making this work with all university segments 
is the strengthening of the relationships with the Chancellors. It was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, it is essential that University interactions with executive and legislative 
branches of the state and federal governments be carefully planned and coordinated; 

WHEREAS, it is the role of the President's Office to coordinate University planning 
and policy development, including budget and legislative strategy, and to represent the 
University to these outside constituencies; 

NOW, THEREFORE, BE IT RESOLVED that employees of the University, acting in an 
official capacity, shall engage in such planning and policy development discussions 
with these outside constituencies only in coordination with appropriate personnel in 
the President's Office. 

The next item on the agenda was consideration of the Hospital Management Board Minutes . 
Mr. George McClelland, Chair of the Finance Committee of the Hospital Management Board was 
available at the meeting. Chair Oakes then asked Mr. McClelland to make any comments to 
supplement the minutes or to bring any issues to the Committee's attention. Mr. McClelland 
reported that the Hospital had had a good month, accruing a surplus larger than budgeted this 
year, but there continues to be a cash flow issue. The Board also heard a report relative to the 
look from a clinical standpoint of the practices, which is a first attempt to bring on line a cost 
accounting system. After discussion, it was moved, seconded and 

VOTED : To recommend that the Board approve the minutes of the May 21 and June 23 Hospital 
Management Board Meetings including the Unaudited Financia3tatement for April 
and May, 1993; the proposed appointments and reappointments for May, 1993 and the 
amendments to the Medical Staff By-Laws as contained in Doc. T93-081. 

Chair Oakes thanked Mr. McClelland for being with the Committee and for his efforts with 
the Hospital Management Board on behalf of the University. 



-2- 






* 



The next item was the Department of Defense Resolution for Exclusion of Certain 
Directors or Officers . It was moved, seconded and 



VOTED : To recommend that the Board take the following action: 

WHEREAS, current Department of Defense Regulations contain a provision making it 
mandatory that the Chairman of the Board, the President, and the Secretary, meet the 
personnel clearance requirements established for a contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from the 
personnel clearance requirements of certain members of the Board of Trustees and 
other officers, provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the 
President, and the Secretary, at the present time do possess, or will be processed for, 
the required security clearance; and 



> 



ft 



BE IT RESOLVED that in the future, when any individual enters upon any duties as 
Chairman of the Board, the President, or Secretary, such individual shall immediately 
make application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of Trustees 
and other officers, shall not have, and can be effectively excluded from access to all 
classified information in the possession of the corporation and do not occupy positions 
that would enable them to affect adversely policies or practices in the performance of 
classified contracts for the Department of Defense or the User Agencies of its Industrial 
Security Program: 



NAME 

Daniel E. Bogan 

Derek Bok 

David Cunningham 

Lawrence S. DiCara 

Eric Dickson 

Joseph S. Finnerty 

Heriberto Flores 

Michael T. Foley, M.D. 

Robert J. Haynes 

Robert S. Karam 

Peter K. Lewenberg 

Al Lizana 

Ogretta McNeil 

James F. O'Leary 

John William Poduska, Sr. 

Mary L. Reed 

Piedad F. Robertson 

Stephanie Siegmann 

Alan D. Solomont 

Rina K. Spence 

Daniel A. Taylor 

Kevin J. Tobin 



TITLE 

Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 
Trustee 



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(Doc. T93-082) 



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-3- 



The next item was an added item to the agenda. Chancellor Penney requested the Committee 
increase the daily Parking Fee from $3.00 to $3.50 per day and to extend the $3.50 per day charge 
to Saturday parking. This item was necessitated by the current budget situation. This would 
allow the campus to off-set some appropriate utility, maintenance, snow removal and public 
safety expenses now supported with other general operation funds. She added that the campus 
would try to work out several discounted arrangements for frequent parkers. There was a 
discussion of the costs associated with the garage including depreciation and whether all costs 
were completely covered with the fee. It was moved, seconded and 

VOTED : To recommend that the Board approve an increase in the parking fee at UMASS 
Boston from $3.00 to $3.50 per day and to extend the $3.50 per day charge to 
Saturday Parking. (Doc. T93-084) 

Vice President Thomas Chmura then provided the Committee with an update on Economic 
Development Activities. He said that at the last meeting, he had outlined seven specific areas 
that the University was trying to work on at a system-wide level. Updating the Committee on 
what has happened over the last several months, he first mentioned that a system-wide group has 
been assembled and has begun to work over the summer as a system to look at the Governor's 
strategy and look at the Legislature's interest in economic development and is in the process of 
developing a university response. He said that there is alot going on in the University, and there 
is a need to better describe them and what will happen in the future. 

He reported that one way the emphasis that the President has placed in economic 
development has paid off, has been in the Governor's Capital Budget, where he has given a 
priority to economic development. The campuses have identified one significant economic 
development project, and in Dartmouth's case two, that will be brought to the Committee on 
Administration and Finance and the Economic Development Task Force. 

The third area, he spoke about was the Environment and how it relates to Economic 
Development. The University is continuing to work closely with the Environmental Council and 
the new Secretary of Departmental Affairs, Trudy Coxe. He added that the University was 
putting together a day long session this fall with Environmental Affairs so that the state can 
articulate its need for research, technical assistance and education programs and all our campuses 
will be bringing forward their capacities and begin to match and see how the University can 
respond better. 

The other special project that emerged with the Legislature this year, was a project with the 
City of Chelsea on establishing a center for new technologies that have to do with materials reuse 
and recycling. He also spoke about the collaboration efforts involved with the project with 
UMASS Boston, UMASS Lowell and a consortium of companies in Chelsea. That project is also 
going forward to seek federal monies. 

Another focus that the President has articulated that Vice President Chmura spoke about and 
that the campuses have participated in, was Defense Conversion. He spoke about efforts in 
Industrial Extension and that UMASS, if this project is successful, will be better positioned to 
serve the needs of and around the State. With regard to Advanced Transportation Technology, 
he updated the Committee on efforts with the Volpe National Transportation Center. 

Trustee Bok inquired as to how the University is going to demonstrate how much its done in 
this area and how it has benefited the Commonwealth. He said, the way most people do that is 
after two years they conduct an inventory and come in with a long impressive list and you look at 
it and you have a feeling these guys are trying to sell you something. Those calculations would 
have alot more creditability if set down with, for example Secretary Tocco, at the beginning as a 
set of criteria to track what the University is accomplishing. If bought into, it seems that when 



-4- 



* 



you go to the Legislature, it would have a better hearing and may be a good way of tracking 
progress and building credibility with the state. President Hooker said that it is in progress both 
in the strategic planning process and in our efforts to build a set of components and criteria that 
the Legislature can be used to measure our progress both longitudinal and against our peers. 



There was then a discussion about the priority projects and funding to support these efforts. 
It was suggested that the newly formed Development and Legislative Relations Task Force 
become involved in this effort. 

The next item was a report on Strategic Planning given by President Hooker. He reported 
that the first meeting of the Five Campus Planning Group would be August 11 and that thereafter 
the six Task Forces will be starting their work. Chair Oakes reminded the committee that there 
were Trustee representatives on the Task Forces and that there would be alot of involvement in 
the process. 

Trustee Karam reported that the Development and Legislative Task Force has been 
appointed and has met with campus representatives. 



President Hooker then updated the Committee on the Non-Unit Staff Salary Increases . He 
reported that in consultation with the Chancellors, he has approved a schedule to give to all non- 
unit classified staff the full 7.25% increase given to unit personnel. For professional non-unit staff 
we've established a 4% merit pool and have approved increases in the range of - 9%. This will 
apply to people hired prior to July 1, 1992. 



3d 
O 
H 



Professor Ernst May from UMASS Amherst pointed out the campus' concern regarding the 
exclusion of departments chairs and heads from the recent round of pay raises. He also noted the 
inconsistency since individuals, at UMASS Lowell and UMASS Dartmouth in equivalent 
positions who are included in the collective bargaining unit, will receive the increases. He urged 
the appropriate individuals to take some remedial action to make this situation whole, especially 
for those heads and chairs of small departments who receive a modest stipend in addition to their 
regular faculty salary. 

Chancellor Scott said that in these circumstances, it is the best approach one can take, but its 
important this not become a approach one takes repeatedly. 

Trustee Solomont spoke about the equity and fairness of the situation and the belief that the 
policy was driven by equity. He indicated the need to be more responsive to this situation. 
Trustee Bok suggested that the compensation through the merit system should be factored into 
the decision when awarding merit. 



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The last item on the agenda was Executive Session . Chair Oakes called for a motion to go 
into executive session to discuss Honorary Degrees. He said the Board would not reconvene in 
open session. At 4:50 p.m., it was moved, seconded and 

VOTED : To go into Executive Session. 



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Chair Oakes voted for the motion as did Trustees DiCara, Foley, Karam, Lewenberg, 
Solomont, and Taylor. 



The meeting adjourned at 5:00 p.m. 




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Cynthia A. Fontaine 
Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 
AMHERST 'BOSTON •DARTMOUTH 'LOWELL •WORCESTER 



MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, October 5, 1993; 3:00 p.m. 

Board Room 

Cumnock Hall 

University of Massachusetts 

Lowell, Massachusetts 



Committee and Committee Staff : Chair Oakes; Trustees DiCara, Foley, Karam, Lewenberg, 
Robertson, Spence, Taylor and Tobin 

Committee Members Absent : Trustees Finnerty and Poduska 

Other Trustees : Trustees Bok, Cunningham, Lizana, Siegmann 

University Administration : President Hooker; Vice Presidents Story, Lenhardt, Chmura, 
Sessoms, Humphrey and Boyd; General Counsel Kirby; Mr. Lemanski, Director of Governmental 
Relations; Chancellors Scott, Penney, Cressy, Hogan and Worcester; Vice Chancellors 
MacCormack, Goodwin, Dars 



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The meeting was convened at 3:12 p.m. The first item on the agenda was Chancellor's 
Equity Adjustments . President Hooker explained his intent to establish a range of compensation 
for the Chancellors based on a report conducted by the Academic Search Consultation Service 
(ASCS) which was based on a review of compensation packages of chief executive officers of peer 
institutions. While the study recommended salary ranges for all five campuses, President Hooker 
asked the Committee to approve equity adjustments for Chancellors Penney and Hogan over a 
two year range. 

President Hooker then went on to explain that an equity adjustment for Chancellor Lazare 
would come later after a study of Medical Centers and Schools was completed. 

President Hooker said the two year phase is retroactive to July 1, 1993, and the second phase 
will begin July 1, 1994. There was discussion regarding the increment amounts. The motion was 
then amended to make the first increment greater than the second and that the President be able" 
to negotiate these amounts with the Chancellors. 



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Trustee Lizana questioned the timing of such adjustments with the serious budget cuts the 
University has recently endured. Chair Oakes expressed his opinion that the University must do 
what it can to retain the quality of leadership the Chancellors have shown. President Hooker 
then noted that should a Chancellor take another position the cost of replacing them would be for 
more than the amounts recommended today. 

It was then moved, seconded and 



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VOTED : To recommend that the Board authorize the President to 

negotiate salary increases with Chancellors Penney and Hogan 
up to the minimum level of salary ranges of comparable 
positions as outlined in Doc. T93-099. 



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The next item was the Capital Financing Priority Lists . Vice President Lenhardt gave some 
background information on the subject and noted the following issues: 

•The project lists continue to be updated by campus personnel which could result in the 
shifting of some projects and activities from Phase I to Phase 11 ( and vice versa); 

•The Office of Administration and Finance and the Division of Capital Planning and 
Operations (DCPO) are continually monitoring the capital lists and will be meeting with General 
Counsel Kirby to review outstanding issues relating to the financing and commitment of state 
funds; 

•The University has received positive credit ratings from Standard & Poor's and Moody's 
rating agencies and that we are only one of five public universities in the nation that is ranked 
equal to their respective state. 

There was then discussion about the repair and maintenance lists and how there were not 
enough funds to do every maintenance and health and safety project on the Phase I list which 
means some are being shifted to the Phase II list. Trustee Spence suggested that we keep to the 
list on health and safety issues. Vice President Lenhardt explained that Worcester has no projects 
that fall in this list but that capital spending needs to be done with expanded programs in the face 
of the competitive arena and that the lists should be consistent with the strategic plan. 

Chair Oakes then suggested the motion be amended to include the Medical Center portion of 
Exhibit A to be reviewed and amended by the Trustee Medical Center Task Force to ensure that 
the Capital Priority list for Worcester stay within the Strategic Plan. 

It was then moved, seconded and 

VOTED : To recommend that the Board in furtherance of the Board vote on the Capital Plan 
adopted on June 2, 1993, to approve the Capital Program Projects List attached 
hereto as Exhibit A and to delegate to the President the authority to amend said 
List as he may deem to be in the best interest of the University based on the 
parameters set forth in the Board's June 2, 1993 action, provided, that the Medical 
Center portion of Exhibit A shall be reviewed and amended by the Trustee 
Medical Center Task Force. Provided, further, that the President shall regularly 
advise the Board of changes to said List. (Doc. T92-118B, Addendum 4) 

The next item was the Fiscal Year 1995 Budget Request . President Hooker explained that 
with the legislation creating a new five campus system it also called for the University to develop 
a formula for budget requests. In terms of portraying need, the formula approach worked very 
well and gave the University a bottom line figure but resulted in a $118-120 million dollar gap as 
to the funds appropriated by the state. It has been decided to phase in this shortfall in a five year 
span which would be $361 million. 

It was then moved, seconded and 

VOTED : To recommend that the Board authorize the President to prepare and submit to 
the Higher Education Coordinating Council a 1995 budget request for state 
appropriations for the University in an amount not to exceed $361,000,000, 
provided that the President shall provide the Board with a copy of the formal 
budget request at its December meeting. (Doc. T93-098) 

The next item was Medical Center Transactions . General Counsel Kirby explained that in 
the 1994 Budget there was an outside section that permitted certain transactions at the Medical 






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Center that could occur without certain state regulations if the Secretary of Administration and 
Finance signed off on those transactions ahead of time. The legislation requires the Board to send 
the transaction to Administration and Finance and the Secretary of Administration and Finance 
which in turn has a 30 day period to approve or disapprove the transactions. The following vote 
would permit the President to send a transaction forward on the recommendation of a Trustee 
that is also a member of the Hospital Management Board, thus starting the 30 day time period. It 
was then moved, seconded and 



VOTED : WHEREAS, Amendments adding a new Section 36C to Chapter 75 of the 

General Laws grants the University of Massachusetts Board of Trustees authority 
to engage in transactions on behalf of the Teaching Hospital and Medical School 
outside the statutory and regulatory frame work generally applicable to state 
agency transactions; and 

WHEREAS, the exercise of that authority requires the approval of the Secretary 
of Administration and Finance; and 



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WHEREAS, the Trustees are required to file a statement with the Secretary of 
Administration and Finance, the Secretary of Education and Secretary of Health 
and Human Services containing information regarding any proposed transaction; 
and 

WHEREAS, by operation of the new statute, if the Secretary of Administration 
and Finance fails to send the Trustees a written notice disapproving a proposed 
transaction with the reasons therefore within 30 days of receiving the Trustees' 
statement, the proposed transaction is by operation of law deemed to have been 
approved; and 

WHEREAS, many of the transactions that are contemplated in the exercise of this 
new authority will be time sensitive; and 

WHEREAS, the University of Massachusetts Board of Trustees desires to 
expedite the consideration of such transactions while maintaining its fiduciary 
responsibility to review and approve any such transactions; 



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Now, therefore, it is voted as follows: 

Upon recommendation of any Trustee member of the Hospital Management 
Board, the President is hereby authorized to submit on behalf of the Board of 
Trustees the statement required by Paragraph B of Section 36C of Chapter 75 of 
the General Laws to secure the approval of the Secretary of Administration and 
Finance for the transaction provided, however, that the transaction shall not 
become final until it is approved by the Board of Trustees. 

The next item was Legislative Initiatives . President Hooker then asked Vice President Boyd 
to discuss the major pieces of legislation the University is working on. He then went through a 
list of refiles, most importantly the early and optional retirement bills. Mr. Lemanski, Director of 
Governmental Relations then spoke of the process including requesting the campuses to submit a 
suggested list or priorities which were then coordinated with the President's Office. 

Mr. Lemanski went on to explain some of the new bills filed including the establishment of 
the Center for the Massachusetts Economy which would be a state-wide resource for economic 
data to serve the needs of public and private policy makers in the Commonwealth. He also spoke 



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of the Act relating to the contracting for services of certain public hospitals which is a result of the 
HMO's Blue decision this year not to include UMASS as a provider except for specialty care. 

He then went on to list the pending Acts 

•An Act authorizing UMASS to establish a personnel classification for all non-professional 
personnel of the Medical Center; 

•An Act to allow Medicaid and UMASS Hospital to qualify certain spending as a state 
payment eligible for federal matching funds; 

• An Act to allow Rhode Island residents to attend UMASS Dartmouth t the in-state tuition 
rate (this bill is important to Dartmouth which wants to respond to the Rhode Island decision to 
permit Massachusetts residents to attend Rhode Island state institutions at in-state rates; 

•An Act establishing a University of Massachusetts matching fund t match certain private 
gifts with state funds to assist in building an endowment; 

•An Act authorizing non-voting student trustees to participate at Trustee Executive Session; 

•An Act to consolidate UMASS building authorities; 

•An Act relative to the UMASS Foundation seeking clarification of state regulation regarding 
audit. 

Mr. Lemanski noted the supplemental budget requests for UMASS Dartmouth and for five- 
campus economic development. Trustee Taylor then commended the University's approach to 
obtaining these initiatives noting that the Trustees have time to reflect on these important 
matters. 

Trustee Robertson suggested the University submit two to three of the priority bills as soon 
as possible for the Governor to review. There was then a question on what role the Legislative 
Task Force will play in deciding what bills need to be filed. Chair Oakes explained that all 
initiatives will first go through the President's Office which will then be reviewed by the Task 
Force. 

The Strategic Planning Update was the next item. Vice President Sessoms informed the 
Committee of the establishment of six task forces to study the future direction of UMASS. Three 
of these six groups have met, the other three are meeting in the very near future. The hope is to 
have a preliminary product for the Board to look at in April. Members of the Board are on each 
task force as well as student representation. Part of the process has involved the campuses self 
examination through the mission enhancement exercise. 

Professor Ahearn, Faculty Representative from UMASS Dartmouth stressed the need for 
input from faculty members. Vice President Sessoms assured the Committee that faculty will be 
invited as a faculty member has been selected by a Chancellor from each campus. Trustee Karam 
then asked for a time table that results in a final plan by next September. 

The Boston Olympic Planning Efforts was the next item discussed. Vice President Sessoms 
informed the Committee of John Hamil, President of Heet Banks efforts to bring the Olympic 
games to Boston and a proposal to organize and staff a University President's Committee in 
conjunction with the Boston Organizing Committee (BOC). This committee will include the 
Presidents of MIT, Boston University, Boston College, Harvard, Tufts, Brandeis, Northeastern 



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and UMASS. Vice President Sessoms promised to keep the Board informed of further 
developments. 



The meeting adjourned at 4:17 p.m. 



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Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST 'BOSTON •DARTMOUTH • LOWELL • WORCESTER 



MINUTES OF THE MEETING OF THE 
EXECUTIVE COMMITTEE 

Tuesday, November 30, 1993; 3:00 p.m. 

Room 101 

Campus Center 

University of Massachusetts 

Amherst, Massachusetts 

Committee and Committee Staff : Chair Taylor; Trustees DiCara, Finnerty, Foley, Haynes, Karam, 
Lewenberg, Spence and Taylor; Mrs. Fontaine, Secretary to the Board 

Committee Members Absent : Trustees McNeil and Robertson 



Other Trustees : Trustees Bogan, Cunningham, Flores, Lizana, O'Leary, Reed and Siegmann 

University Administration : President Hooker; General Counsel Kirby; Vice Presidents Boyd, Lenhardt, 
Sessoms and Story; Chancellors Scott, Penney, Cressy, Hogan and Lazare 

Chair Taylor convened the meeting at 3:15 p.m. He then called on Chancellor Scott to introduce the 
new Deputy Chancellor, Marcellette Williams, who expressed her enthusiasm about joining the Amherst 
campus and its community. 

The first item on the agenda was the A pproval of the Policy on Naming of Facilities . President 
Hooker reported that this policy was consistent with other American public higher education institutions 
and ties the naming of facilities with development activities. It was moved, seconded and 

VOTED : To recommend that the Board approve the University Policy on Naming of Facilities as 

contained in Doc. T93-127. Further, to rescind Doc. T87-021, and all other policies (or any 
part thereof) currently in effect in the University which are inconsistent herewith. 



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The next item was Legal Services, UMASS Amherst. President Hooker reported on the work between 
the President's Office, campus officials and students involved in developing a solution acceptable to all 
involved. Trustee Lizana spoke on the subject and expressed his pleasure that the issue was resolved 
working within the system. 

Trustee DiCara then gave some background on this issue and commended Trustee Lizana for his 
leadership in resolving this difficult issue. 

Chair Taylor then called on individuals who asked to address the Committee. Mr. Richard Gold, 
President of the Local Landlords Association and Mr. Dennis Jones from D&H Realty spoke in opposition 
to the proposal to grant limited litigation. Ms. Lynn Robitaille, representative from the Student 
Government Association spoke in favor of the proposed resolution and asked that the entire University 
community pool their resources to fight for increased revenues to improve the quality of life on campus 
and the campus community. 

It was then moved, seconded and 

VOTED : To recommend that the Board take the following action: 



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WHEREAS, the Board of Trustees in August, 1986, voted to prohibit the use of mandatory 
student fees to support litigation on behalf of students; and 

WHEREAS, Amherst students filed suit challenging said prohibition and were 
unsuccessful in the First Circuit Court of Appeals; and 

WHEREAS, the student legal services office has not had authority to represent students in 
litigation since August, 1986; and 

WHEREAS, student leaders of the Amherst campus have requested the Board to permit 
mandatory fees to be used to support litigation for students; and 

WHEREAS, in light of said request, the President and Chancellor have reviewed the issue 
of student legal services for the Amherst campus; 

NOW, THEREFORE, IT IS HEREBY RESOLVED as follows: 

STUDENT LEGAL SERVICES OFFICE 

Student activities fees properly collected by the University and designated through the 
appropriate University procedure may continue to be used to operate an office to provide 
legal services for students on the Amherst campus. 

Said office, which shall be known as the Student Legal Services Office, may continue to 
serve Amherst students provided that on all printed material and in all oral 
communication the office shall be identified as the Student Legal Services Office and all 
printed material shall include the phrase "supported through student activities fees." 

The Student Legal Services Office may provide advice, representation and other legal 
services to students enrolled at the Amherst campus who have paid the student activities 
fee. The Office shall not provide legal services or advice to individuals who are not 
students nor to students with respect to their status or duties as employees of the 
University. 

The Directing Attorney of the Student Legal Services Office shall report through the 
regular student affairs line organization to the Vice Chancellor of Student Affairs, who 
may consult on office management issues with an advisory committee to be known as the 
Student Legal Services Office Advisory Committee. Within sixty days of the date of this 
vote, the Student Legal Services Office shall recommend a structure and membership for 
said Advisory Committee to the Vice Chancellor. The Committee may include students, 
faculty, and administrators, as well as community members who are respected members 
of the Bar. The student members may be appointed by the Student Government 
Association and /or the Graduate Student Senate. The non-student members shall be 
appointed by the Vice Chancellor. 

Employees of the Student Legal Services Office shall be subject to all policies of the 
University and all state laws governing University employees, including chapter 268A of 
the General Laws. 






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LITIGATION 

The Student Legal Services Office may commence litigation on behalf of students provided 
that the Office, which is supported by University funds, shall not engage in litigation 
either in court or before administrative agencies, against the Commonwealth or any of its 
agencies, subdivisions or instrumentalities including the University, or any municipality, 
or any officer, trustee, agent or employee of any of the foregoing for actions related to their 
official duties or responsibilities. 

SUNSET PROVISION 

The foregoing authorization for limited litigation by the Legal Services Office shall remain 
in effect until December 15, 1995, at which time funding shall no longer be used to support 
litigation unless before that time the Board has acted affirmatively to continue litigation. 
On or before December 15, 1995, the President and Chancellor shall review the operation 
of the Office, which review shall include, but not be limited to, the number and types of 
matters handled, the number of students receiving assistance, the financial need of those 
students on whose behalf litigation was commenced, and any fee structure put in place for 
students on whose behalf litigation has been commenced. (Doc. T93-059, Addendum 1) 



The next item was an Amendment to the By-Laws which would establish as a Standing Committee, 
the External Affairs Committee. The Committee's responsibility would include enhancing the 
University's public standing with its constituencies and strengthen the fundraising capacity. 



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It was moved, seconded and 

VOTED : To recommend that the Board approve the following amendments to the By-Laws of the 
Board of Trustees of the University of Massachusetts (Doc. T91-100): 

Article III, Section 1 is hereby amended by striking out the word "five" and inserting in 
place thereof the word "six," and by adding "the External Affairs Committee." 

Article III, Section 5 is hereby amended by inserting after subsection (e) the following: 



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"(f) The External Affairs Committee shall have the responsibility of reviewing and 
recommending to the full Board: 

i. advocacy and university fundraising and development efforts." 



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The next item was a Department of Defense Resolution which updates previous votes of the Board. 
Without discussion, it was moved, seconded and 

VOTED : To recommend that the Board take the following action: 

WHEREAS, current Department of Defense Regulations contain a provision 
making it mandatory that the Chairman of the Board, the President, and the 
Secretary, meet the personnel clearance requirements established for a contractor's 
facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from the 
personnel clearance requirements of certain members of the Board of Trustees and 
other officers, provided that this action is recorded in the minutes. 



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NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the 
President, and the Secretary, at the present time do possess, or will be processed 
for, the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any duties 
as Chairman of the Board, the President, or Secretary, such individual shall 
immediately make application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of Trustees 
and other officers, shall not have, and can be effectively excluded from access to all 
classified information in the possession of the corporation and do not occupy 
positions that would enable them to affect adversely policies or practices in the 
performance of classified contracts for the Department of Defense or the User 
Agencies of its Industrial Security Program: 



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NAME 


TITLE 


Daniel E. Bogan 


Trustee 


Derek C. Bok 


Trustee 


David Cunningham 


Trustee 


Lawrence S. DiCara 


Trustee 


Eric Dickson 


Trustee 


Joseph S. Finnerty 


Trustee 


Heriberto Flores 


Trustee 


Michael T. Foley, M.D. 


Trustee 


Robert J. Haynes 


Trustee 


Charles J. Hoff 


Trustee 


Robert S. Karam 


Trustee 


Peter K. Lewenberg 


Trustee 


Arnold J. Lizana 


Trustee 


Ogretta V. McNeil 


Trustee 


Gordon N. Oakes, Jr. 


Trustee 


James F. O'Leary 


Trustee 


John William Poduska, Sr. 


Trustee 


Mary L. Reed 


Trustee 


Piedad F. Robertson 


Trustee 


Stephanie Siegmann 


Trustee 


Rina K. Spence 


Trustee 


Kevin J. Tobin 


Trustee 




(Doc. T93-082A) 


/as Communitv Healthlink Inc. Services. Chancell< 






this item was a guarantee of a loan of up to $1M to be utilized in assembling the financing for renovating 
Worcester City campus property to provide ongoing mental health services. Total renovations will cost 
over $4.5M of which the city of Worcester has agreed to provide $4M. 

The Committee asked that the motion be amended to include a guarantee from the city of Worcester 
for $4M before the Chancellor authorizes the loan through the Hospital trust fund. It was moved, 
seconded and 



VOTED : To recommend that the Board To authorize the Chancellor to guarantee a $1 million loan 
through the Hospital trust fund to be utilized in assembling the financing for renovating 
the Worcester City Campus property to provide ongoing mental health services provided, 






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however, that said guarantee shall not be executed unless and until the city of Worcester 
authorizes the guarantee of a $4 million loan to Community Healthlink. (Doc. T93-112) 



The next item was a discussion of a Petition from UMASS Boston protesting the pay raise awarded to 
Chancellor Penney. Chair Taylor read the petition which asked the administration to make a firm 
commitment to include the UMASS Boston community in decisions regarding budgetary priorities and 
tuition and fee increases. There was also a request for dates and agendas for all Board and Committee 
meetings be posted in locations throughout the campus. He then informed the Committee that a faculty 
member and student had requested to speak on the issue at the Board meeting. 



The next item was Strategic Planning . Vice President Sessoms reported on three goals currently 
underway including continuous individual campus efforts to develop specific strategic campus plans, 
campus-based efforts to produce measurable goals and indicators and the five-campus planning group 
and associated task forces to develop cross cutting programs that will further build the UMASS system 
and strengthen inter-campus collaboration. He then talked about timetables for these goals and expects 
final Board approval in June of 1994. 

Chancellors Hogan and Penney reported on the strategies they have used in allocating and reallocating 
resources restructuring programs over the last five years. 

Chair Taylor said the University must involve faculty in the strategic planning process and welcomed 
input from faculty as to what Trustees can do to foster a more rigorous process. 

The next item discussed was Alumni Affairs . Vice President Boyd provided the Committee with an 
overview of the activities of the alumni offices at the five campuses. He pointed out the importance of 
cultivating relationships with alumni and that regular communications need to be established. 



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John Feudo, Director of Alumni Relations, UMASS Amherst then pointed out that the success of the 
development efforts will depend on the relationship the University develops with its alumni. He 
outlined some of the activities that will help develop positive relationships, one being the publicity the 
Minutemen Basketball team brings. 

Vice President Chmura briefly updated the Committee on Economic Development activities. Of 
particular interest, was the awarding of a Defense Conversation Grant to Amherst, Boston, Dartmouth 
and Lowell. There is also a joint agreement between the University and the Executive Office of 
Environmental Affairs to collaborate on environmental research, technology and education programs, 
and plans to establish the Center for the Study of the Massachusetts Economy which will be a state 
resource for economic data and analysis. 

The last point he made was the need for a system-wide examination of university policies relating to 
economic development. This study will be undertaken by himself and General Counsel Kirby with 
campus representatives involved. Chair Taylor reported that Trustee DiCara has agreed to help out with 
this study as well. 

Trustee Foley then reported on the Hospital Management Board Minutes . Chancellor Lazare and 
Deputy Chancellor Stanton explained the process for filling two community member Board vacancies. 

Trustee Karam then asked for discussion on the financial statement that showed a $100,000 profit for 
the month but starting next month will begin to pay $2M a month for fringe benefits. Deputy Chancellor 
Stanton explained the particulars and that the situation will be monitored closely by the Hospital 
Management Board. 

The Committee amended the vote to request the Medical Center explore all restructuring and merger 
opportunities. It was then moved, seconded and 



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VOTED : To recommend that the Board approve the minutes of the September 22 and October 27, 
Hospital Management Board meetings including the Unaudited Financial Statements for 
June, July, August and September, 1993; the proposed appointments and reappointments 
for June and September, 1993; the fourth and Annual Quality Management Report; the 
Department of Nursing Plan and Scope of Practice; the University of Massachusetts 
Medical Center' Policy Statement on Patient Rights; to support management in acquisition 
of the Meditech System; 

and further, 

In light of the strategic planning process underway, the Medical Center is authorized to 
continue to explore all restructuring and potential merger opportunities for the future. 
(Doc. T93-128) 

Chair Taylor proposed that the Board consider Honorary Degrees at the Board meeting. He then 
reported that General Counsel Kirby had reviewed the provision of law that non-voting Trustees may not 
participate in executive sessions and reported that non-voting Trustees may be invited to join executive 
sessions, but not vote. 

It was moved, seconded and 

VOTED : To recommend that the Board invite non-voting Trustees to attend, although pursuant to 
current law not participate in, executive sessions of the Board. 

Chair Taylor called for a motion to enter Executive Session to discuss Collective Bargaining . 

It was moved, seconded and 

VOTED To enter executive session. 

The time was 5:45 p.m. Chair Taylor voted for the motion as did Trustees DiCara, Finnerty, Foley, 
Haynes, Karam, Lewenberg, Spence and Tobin. 

The meeting adjourned at 6:30 p.m. 




Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 
AMHERST -BOSTON -DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, February 3, 1993; 9:00 a.m. 

Chancellor's Conference Room 

University of Massachusetts 

Boston, Massachusetts 

Trustees and Trustee Staff : Chair Oakes; Trustees Bok, DiCara, Finnerty, Flores, Foley, Haynes, 
Karam, Lewenberg, Loh, McNeil, Newnan, Poduska, Reed, Solomont, Spence, Taylor and Tobin; 
Mrs. Fontaine, Secretary to the Board of Trustees 

Trustee Members Absent : Trustees Bogan, Neal, O'Leary, Robertson and Vittimberga 

University Administration : President Hooker; General Counsel Searson; Vice Presidents Boyd, 
Chmura, Lenhardt and Story; Chancellors O'Brien, Penney, Deck, Hogan and Lazare;. 

Chair Oakes convened the meeting at 9:06 a.m. He then introduced Professor Barry 
Bluestone, from the UMASS Boston Political Science Department, who spoke about a study on 
the economic impact UMASS Boston has had on the State. As part of Professor Bluestone's 
presentation, he highlighted the following: 



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•The state government of Massachusetts expects to receive $1.57 in additional income and sales 
tax for every $1 invested in the programs at UMASS Boston. Annually this is a return of 8.9 
percent more than an investment in U.S. Treasury Bonds, corporate bonds or typical mutual 
bonds; 

• Benefits of attending UMASS include a highly trained labor force, and an increase in state tax 
revenue; about 89% of students stay to live and work in Massachusetts; 



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•The income of students who entered the campus in 1991 will bring $53.6 million in tax revenue, 
a payoff on the $34.1 million the state will spend to help educate these students; 

•Some 57% of students who entered the University in 1991 would not have attended college if 
there was not a UMASS Boston. 



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Chair Oakes thanked Professor Bluestone and suggested that the other campuses study his 
methodology in preparing this data and conduct their own study on this subject. 



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Chair Oakes then introduced Thomas Chmura, Vice President for Economic Development 
who spoke about the status of economic development at UMASS. 

Vice President Chmura told the Board that the University needs to be thought of as a driving 
force for competitiveness in the state and needs to provide high quality and responsive economic 
resources for industries and the people of the state. He also spoke about the University's need to 
change with the shift in the economy and explore options regarding the field of science and 
technology. Requirements for success in economic development include a new, expanded view 
of the University Mission, strong and proactive institutional leadership, a supportive institutional 
culture, facilitating organizational arrangements, a supportive policy, regulatory and incentives 
framework, a willingness to be collaborative and interactive, financial resources for economic 



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development priorities, and a well-defined strategy based on links between academic strengths 
and economic needs. 

He then pointed out the on-going activities the campuses are involved in concerning 
economic development and that the state government has growing expectations in our ability to 
assist the Commonwealth in economic growth. Looking toward the future, he said the University 
needs to position itself as a critical resource in the state's economic development strategy. . 

Chair Oakes then asked Trustees DiCara and Spence to update the Board on the progress of 
the Chancellor's Search Committees at Dartmouth and Amherst. Trustee DiCara, Chair of the 
Search Committee at UMASS Dartmouth indicated that the Committee later this month would be 
narrowing its list and would begin to bring candidates in for interviews. Trustee Spence who 
chairs the Search Committee at UMASS Amherst said that the Committee has been meeting with 
the different campus constituencies and was at the same stage as Dartmouth. 

The next item on the agenda was consideration of the Minutes of the previous meeting of the 
Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the December 3, 1992 meeting 
of the Board. 

Under the Chair's Report, Chair Oakes said that at the December meeting he had asked 
Trustee Taylor to chair a sub-committee to establish a new five campus policy for awarding 
Honorary Degrees. He then announced the membership of the Committee which includes 
Trustees Haynes, Karam, Poduska and Reed; Vice President Story and Chancellor Penney. 

President Hooker then gave his report. He spoke about the House I Budget recommending 
approximately 25% increase in state funds over last year's budget. The challenge the University 
now faces is to preserve this increase and show the State that this is seed money which will help 
in the economic recovery of the state. 

The Board then heard Reports from the Chancellors . Chancellor Lazare talked about the 
current Health Care System, how it affects academic health centers and what can be done to 
survive while competing with private health centers. He also reported that Ernst and Young will 
be holding a conference speaking to the issues of clinical strategic planning and how to ensure 
market share, cost and payment. He reported that there are several outstanding candidates for 
the Vice Chancellor for Research position and the progress of the search for a tech transfer leader. 

Chancellor Hogan reported that the Lowell campus has spent some of its mission 
enhancement money on initiating a total quality management program in the Admissions area by 
adding staff members to that office to help new students. He also noted that campus applications 
have increased by 23%; 29% for out-of-state applications . 

He also discussed the need for a new facility to play basketball and hockey, a proposal that 
had been put on hold four years ago due to the budget shortfall. The campus has reconstituted 
its former Athletic Commission which is rethinking this issue. A recommendation will come to 
the Athletic Committee in the near future concerning this facility. Trustee Bok strongly stressed 
the need for the University to take a very hard look at where it is going concerning athletics. 



Chancellor Deck briefly spoke about the need to increase tuition at the Dartmouth campus to 
improve services provided for undergraduate students. The issue of tuition and student fees will 
be before the Board in April. 






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Speaking to suspensions of textile programs at the Dartmouth campus last spring, he said 
faculty members came up with a plan working with the Textile Advisory Committee in 
Southeastern Massachusetts to develop a new program in manufacturing management. This 
program has been received enthusiastically by the textile business community and will help be an 
important force in revitalizing how things are done. 

He also spoke about Governor Weld's approval of initial funding of a Marine .Science 
Laboratory and that the first one million dollars for the design phase has been committed. 

In concluding his report, Chancellor Deck presented new UMASS Dartmouth degrees to 
Trustees Karam and Finnerty, graduates of Southeastern Massachusetts University. In December, 
1991 the Dartmouth and Lowell campuses were authorized to offer diplomas in the name of the 
University of Massachusetts to previous graduates. 

Chancellor Penney reported on a visit from the New England Association of Schools and 
Colleges to study how the Boston campus is handling the budget situation. The accreditation 
letter from the Association has commended the campus for its consistent focus on long-range 
plans and its ability to reallocate resources to support doctoral programs. They also commended 
the campus for leadership in the face of state-mandated budget cuts. 

She then reported on campus events held to promote diversity, including a campus-wide 
Diversity Day on February 17 largely organized by the students. In addition, there was a 
conference about civil rights issues facing Asian Americans attended by Mrs. Susan Weld and the 
Seventh Annual Community breakfast which was attended by several campus council members. 



Chancellor O'Brien talked about the excitement at the campus surrounding the opening of the 
Mullins Arena and the hiring of a new Athletic Director, Robert Marcum. He also noted that on 
Sunday there had been an Open House with 20,000 people in touring the facility. 

With respect to multi-culturalism, the campus is monitoring its effectiveness in coming 
through with agreements made during the fall and is publishing a monthly bulletin of actions 
taken concerning these issues. 



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He also announced that enrollments are up as well as the morale on campus due to the 
encouraging budget news and recent staff increases. 

President Hooker then informed the Board of a recent media report about an investigation of 
the Mullins Arena conducted by the Attorney General. He reported that he has been in contact 
with the Attorney General's office and confirmed that there were no public safety issues 
associated with opening the building. 



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Trustee Poduska then asked to give the report of the Committee on Academic and Student 
Affairs. The first item was the Delegation of Authority for Graduation Lists . It was moved, 
seconded and 



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VOTED : To delegate to the Chancellors of the respective campuses, with authority to 
further delegate to the Provost or a Vice Chancellor, the authority to approve 
graduation lists of students who have completed requirements for the award of 
University degrees. The Chancellors shall regularly forward copies of the 
graduation lists to the Secretary of the Board of Trustees. The appropriate 
University degree shall be awarded in the name of the Trustees to each student 
on said lists without further vote of the Board. (Doc. T93-017) 



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The next two items involved A ppointments with Tenure. UMASS Amherst . It was then 
moved, seconded and i 

VOTED : To concur with the President in the appointment of Carole Beal as 
Associate Professor of Psychology with tenure at the University of 
Massachusetts Amherst. (Doc. T93-011) 

And further, 

VOTED : To concur with the President in the appointment of Joseph Goldstein as 
Professor of Mechanical Engineering with tenure at the University of 
Massachusetts Amherst. (Doc. T93-012) 

The next item was a Contract Renewal, UMASS Dartmouth . It was then moved, seconded 
and 

VOTED : To concur in the recommendation for a contract renewal of Walaa S. 
Mogawer at the Dartmouth campus as contained in Doc. T93-013. 

Trustee Poduska then asked that the next item involved a Contract Non-Renewal r UMASS 
Amherst be discussed in Executive Session. 

The next agenda item was the Policy on Named Professorships . It was then moved, 
seconded and 

VOTED : To approve the University's Policy on Named Professorships as 

contained in Doc. T93-014. Further, to rescind Doc. T78-069A, and all 
other policies, rules or regulations (or any part thereof) currently in effect 
in the University which are inconsistent herewith. 

Trustee Poduska then informed the Board of the Committee's interest in having the Mission 
Statements and the Position Paper relating to Collaboration written by Vice President Story, on 
future Academic and Student Affairs agendas as a way of helping to prepare the University for 
the future. 

Trustee Loh then requested that all campuses provide tenure statistics on part-time faculty 
members. Vice President Story said he has that information and will provide it. Trustee Karam 
asked that the Board establish a policy on tenure. Trustee Poduska stated that this issue will be 
taken up by the Committee. 

Trustee Spence then gave the report of the Committee on Administration and Finance. For 
information, she informed the Board that efforts are ongoing with respect to a Capital Financing 
Strategy that will deal with the Infrastructure issues. She also reported that an Investment 
Subcommittee has been established to work with Vice President Lenhardt on the issues of 
University Investments. The Committee includes Chair Oakes, Trustees Haynes and Poduska. 

The University Cash Management Policy was then presented for consideration. It was then 
moved, seconded and 

VOTED : To approve the revised University Cash Management Policy as 

contained in Doc. T92-031, Appendix F, as amended, with the proviso 
that the original language in Section III shall continue in effect, as follows: 

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(1 ) The University will purchase only instruments with a remaining maturity of 

five (5) years or less, except that obligations underlying a repurchase agreement 
may have a final maturity of more than five (5) years. 



The next item was the approval of the FY1992 Treasurer's Investment Report . It was moved, 
seconded and 

VOTED : To approve the FY1992 Treasurer's Investment Report as contained in 
Doc.T92-115. 

The next item involved resolutions on the bonding issues for the Mullins Arena. UMASS 
Amherst It was then moved, seconded and 

VOTED : BE IT RESOLVED: 

WHEREAS, the statutes creating the University of Massachusetts (the 
"University"), Chapter 75 of the General Laws of Massachusetts, as amended, 
provide, among other things, that "the major purpose of the University shall be to 
provide, without discrimination, public service, research, and education 
programs, including continuing education services, in the liberal arts and 
sciences . . ." (Massachusetts General Laws, Chapter 75, S52); and 



WHEREAS, "public service" encompasses the provision of educational and 
cultural programs to the public at large and the enhancement of opportunities 
within the geographic areas served by the University for members of the public 
and students of the University to attend, at reasonable prices, lectures, concerts, 
festivals, exhibitions, dramatic performances, films and other events 
demonstrating and reflecting the immense diversity of ideas and concepts, 
artistic creativity, performance techniques and musical and other artistic styles in 
the United States and throughout the world, thereby increasing awareness and 
appreciation both of the diversity of our cultural heritages and our common ties 
as men and women devoted to the enrichment of our lives and the affirmation of 
understanding and good will among cultures and people throughout the world; 

WHEREAS, the needs of our country for citizens with wide-ranging knowledge, 
broad sympathies and acute judgment make it imperative that "education 
programs in the liberal arts ands sciences" encompass both the classical culture of 
the past and the popular culture of the past and present, so that the students of 
the University and the citizens of our country may experience the rich diversity 
of our traditions and our culture and judge with sympathy and discernment the 
state of and make significant contributions to our contemporary society and 
polity; 

NOW, THEREFORE, the Trustees of the University, in keeping with and in 
implementation of the purposes of the University as set forth in the statutes by 
which it was created, affirm public service to be a vital purpose of the University 
and encourage, whenever practicable, the facilities of the University (including 
the William D. Mullins Memorial Center) to be utilized for public service and 
education programs as set forth above, and encourage also the continuing 
exploration of ways to develop and implement such public service and such 
educational programs in the liberal arts and sciences, and further affirm that the 
William D. Mullins Memorial Center and the programs and events provided 
thereby and therein are integral parts of the programs by which the University 
implements and explores additional ways of implementing its statutory purpose 



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to provide public service and educational programs in the liberal arts and 
sciences. (Doc. T93-008) 



And further, 



VOTED : RESOLVED: That the making of a "First Amendment to Contract for Financial 
Assistance, Management and Services 1988-A Projects" (the "First Amendment") 
between The Commonwealth of Massachusetts, acting by and through the 
Trustees (the "Trustees") of the University of Massachusetts (the "University"), 
and University of Massachusetts Building Authority (the "Authority") be and the 
same hereby is authorized; that the Trustees or a majority thereof be and hereby 
are authorized, in the name and on behalf of The Commonwealth of 
Massachusetts, to sign, seal with the common seal of the University and of the 
Trustees, acknowledge if deemed advisable, and deliver the First Amendment in 
the form presented to this meeting (subject to such minor changes, insertions and 
omissions as may be approved by the Trustees or a majority thereof and the 
Chairman or Vice Chairman of the Authority); that the form of the First 
Amendment presented to this meeting and each term, condition and provision 
therein contained be and the same hereby are approved, subject to such minor 
changes, insertions and omissions as may be approved by the Trustees or a 
majority thereof and the Chairman or Vice Chairman of the Authority, and that 
the execution of the First Amendment by the Trustees or a majority thereof shall 
be conclusive evidence (a) of the approval by the Trustees of any such minor 
changes, insertions or omissions and the authorization of the same and (b) that 
the form of the First Amendment so executed (with approved changes, insertions 
and omissions, if any) is as hereby authorized and approved. 

The next item was the Financing of the Capital Program of the University Hospital . It was 
then moved, seconded and 

VOTED : That the University of Massachusetts declare and it hereby declares its official 
intent under Treasury Regulations Section 1.103-18 as follows: 

The University of Massachusetts Medical School Teaching Hospital Trust Fund 
reasonably expects to reimburse, from the proceeds of debt to be incurred by the 
University expenditures to be advanced for the following project: Real estate and 
equipment acquisition and building construction, improvements and renovation 
for the Cancer Program, the Joseph T. Benedict Building and the Worcester City 
Campus. The maximum principal amount of debt expected to be issued for such 
reimbursement purposes is $16. 1 million. 

and further, 

That Stephen W. Lenhardt is hereby authorized and directed to file a certified 
copy of the foregoing resolution with the Massachusetts Health and Educational 
Facilities Authority to be made reasonably available for public inspection 
beginning on a date no later than 30 days from the date hereof and ending upon 
the date of issuance of the aforesaid debt. (Doc. T93-009) 

The next item was Audits . It was moved, seconded and 

VOTED : To accept the Reportable Conditions Letter and the Management Letter 
for the FY 1992 Audit. (Doc. T92-1 14, Addendum 1) 



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It was then moved, seconded and 

VOTED : To accept the following Audits: 

• University-Wide Follow-up Audit of Large Expenditures 
(Doc. T91-033, Addendum 1) 



•WFCR Radio, FY1992 Financial Statements and Audit Report, Management 
Letter and Campus Response (Doc. T93-002) 

• University Medical Center Self Insurance Trust, FY1992 Audited Financial 
Statements and Audit Report, Management Letter and Responses (Doc. T93-001) 

• University Medical School Teaching Hospital Trust Fund, FY1992 Audited 
Financial Statements and Audit Report, Management Letter (as revised) and 
Responses (Doc. T93-005) 

• University Medical School Group Practice Plan, FY1992 Audited Financial 
Statements and Audit Report, Management Letter and Responses (Doc. T93-004) 

•WUMB Radio FY92 Management Letter (Doc. T92-106, Addendum 1) 

Trustee Karam raised the issue of an independent audit for the Hospital due to the Hospital's 
complexity. Trustee Spence agreed that this item be taken up at the next Committee meeting. 

Trustee Lewenberg then gave the report of the Athletic Committee . The Committee was 
updated on NCAA requirements, Title IX issues and the establishment of a five-year, long-range 
plan for the Amherst campus. He then spoke enthusiastically about the appointment of the new 
UMASS Amherst Athletic Director, Robert Marcum. 

Chair Oakes then asked Vice Chair Karam who had chaired the Executive Committee to give 
the report for that meeting. 

The first item was the Delegation of Authority for Appointments to the President He 
explained to the Board that there had been alot of discussion on this subject and the consensus 
was that the President come back to the Board with reports on the quality of the searches, and the 
efforts being made by the campuses so that the Trustees can be assured that the campuses are 
reaching out for diversity and excellence in their searches for Deans, Vice Chancellors, etc. It was 
also pointed out that this motion had been amended by the Executive Committee and the 
appointments would be subject to the President's approval. 

It was then moved, seconded and 

VOTED : To delegate to the President, with authority to re-delegate solely to the 

Chancellors, the authority to appoint, subject to the President's approval, 
Vice Chancellors, Provosts, and Deans of their respective campuses. 
Further, to amend the Governance Document (Doc. T73-098, as 
amended) by deleting from the first sentence of Section II. C.3. the words 
"with the concurrence of the President and the Board of Trustees" and 
inserting in place thereof the words "upon delegation by the President." 
Any policies, rules or regulations (or any part thereof) currently in effect 
in the University which are inconsistent herewith are hereby rescinded. 
(Doc. T93-018) ' 



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The next item was the Delegation of Authority for Professional Leave Obligation . It was 
moved, seconded and 

VOTED : To delegate to the President, with authority to re-delegate to the Chancellors, the 
authority to waive for all professional staff any service obligation following 
professional improvement leave. Further, to amend the Personnel Policy for 
Professional Non-Academic Staff (Doc. T73-090, as amended) by deleting from 
the last sentence in Paragraph F of the "Professional Improvement" Section the 
words "the Board of Trustees" and inserting in place thereof the words "an 
authorized officer of the University." Any policies, rules or regulations (or any 
part thereof) currently in effect in the University which are inconsistent herewith 
are hereby rescinded. (Doc. T93-019) 

The next item was a routine item concerning the Department of Defense Exclusion List It 
was then moved, seconded and 

VOTED : WHEREAS, current Department of Defense Regulations contain a 

provision making it mandatory that the Chairman of the Board, the President, 
and the Secretary, meet the personnel clearance requirements established for a 
contractor's facility clearance; and 

WHEREAS, said Department of Defense Regulations permit the exclusion from 
the personnel clearance requirements of certain members of the Board of 
Trustees and other officers, provided that this action is recorded in the minutes. 

NOW THEREFORE BE IT DECLARED that the Chairman of the Board, the 
President, and the Secretary, at the present time do possess, or will be processed 
for, the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any 
duties as Chairman of the Board, the President, or Secretary, such individual 
shall immediately make application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of 
Trustees and other officers, shall not require, shall not have, and can be 
effectively excluded from access to all classified information in the possession of 
the corporation and do not occupy positions that would enable them to affect 
adversely policies or practices in the performance of classified contracts for the 
Department of Defense or the User Agencies of its Industrial Security Program: 

NAME TITLE 

Daniel E. Bogan Trustee 

Derek C. Bok Trustee 

Lawrence S. DiCara Trustee 

Joseph S. Finnerty Trustee 

Heriberto Flores Trustee 

Michael T. Foley, M.D. Trustee 

Robert J. Haynes Trustee 

Robert S. Karam Trustee 

Peter K. Lewenberg Trustee 

David Loh Trustee 

Ogretta V. McNeil Trustee 

Keith E. Neal Trustee 

Kevin Newnan Trustee 



/ 



James F. O'Leary 


Trustee 




John William Poduska, Sr. 


Trustee 




Mary L. Reed 


Trustee 




Piedad F. Robertson 


Trustee 




Alan D. Solomont 


Trustee 




Rina K. Spence 


Trustee 




Daniel A. Taylor 


Trustee 




Kevin Tobin 


Trustee 


" 


Frank J. Vittimberga, Jr. 


Trustee 


(Doc. T93-020) 


Approval of the Hospital Mana 


eement Board Minutes. Trustee Fole 



reported that the Worcester City Hospital transaction is complete. The corporation which runs 
and directs that entity is headed by Gail Frieswick, Hospital Director; Vice President Lenhardt 
and Mr. Derrick Hollings from the Worcester campus. There was also discussion about the 
Medical Center's networking efforts to extend its influence in all directions and compete with the 
other health care facilities within the state. He also reported that the Joseph Benedict Ambulatory 
Care Center is open providing 50,000 square feet of ambulatory care capability. It was then 
moved, seconded and 

VOTED : To approve the minutes of the November 18th, 1992 Hospital 

Management Board including the Unaudited Financial Statement for 
October, 1992. (Doc. T93-007) 

Chair Oakes then called for a motion to enter Executive Session to discuss Honorary Degrees 
and to comply with general and specific laws. He indicated that the Board would reconvene in 
open session. It was then moved, seconded and 



VOTED : To go into Executive Session. 

The time was 11:35 a.m. Chair Oakes voted for the motion as did Trustees Bok, DiCara, 
Finnerty, Foley, Karam, Lewenberg, Newnan, Poduska, Solomont, Spence and Taylor. At 12:10 
p.m. the Board came out of Executive Session, and it was moved, seconded and 



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VOTED: 



And further, 



To award honorary degrees to those individuals agreed upon in 
Executive Session and to instruct the Chancellors to proceed with the 
necessary arrangements. 



VOTED : To concur in the recommendation for contract non-renewal of Professor 
Helene Fine at the Dartmouth campus as contained in Doc. T92-111. 



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The meeting adjourned at 12:13 p.m. 




Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 
AMHERST 'BOSTON •DARTMOUTH •LOWELL •WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, April 7, 1993; 9:15 a.m. 

Board Room 

Administration Building 

University of Massachusetts 

Dartmouth, Massachusetts 

REVISED 

Trustees and Trustee Staff : Chair Oakes; Trustees Bogan, DiCara, Finnerty, Flores, Foley, Haynes, 
Karam, Lewenberg, Loh, McNeil, Neal, Newnan, Poduska, Reed, Spence, Taylor, Tobin and Vittimberga; 
Mrs. Fontaine, Secretary to the Board of Trustees 

Trustee Members Absent : Trustees Bok, O'Leary, Robertson and Solomont 

University Administration : President Hooker; General Counsel Kirby; Vice Presidents Boyd, Chmura, 
Lenhardt and Story; Mr. Wright, Director of Public Affairs; Chancellors O'Brien, Penney, Deck, Hogan 
and Lazare;. 

Chair Oakes convened the meeting at 9:17 a.m. The first item on the agenda was Consideration 
of the Minutes of Prior Meeting of the Board . It was moved, seconded and 



V OTE D: 



To approve the minutes of the February 3rd, 1993 meeting of the Board. 



He then called on President Hooker to give his report. President Hooker informed the Board of 
two additions to the President's Office staff, Joyce Kirby as General Counsel and Bill Wright, Director of 
Public Information. He then highlighted several issues currently in process. He spoke about on-going 
discussions with members of the Massachusetts delegation in Washington D.C. about the importance of 
the University involving itself in federal projects. It has been suggested that the University open a federal 
office in Washington in the very near future to help direct federal funding to the University. A search 
will begin for a person to fill that office. 



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He then talked about the progress being made in the area of economic development. Governor 
Weld has released the state's economic development plan which prominently mentions the University 
taking the lead in defense conversion. He reported on the University's effort to help build a strong 
UMBOSTON environmental technology industry in Massachusetts and that Jack Archer, who heads up 
the Urban Harbors Institute, has been borrowed for a year to assist the University in coordinating the 
actions of all five campuses in developing our response to the state's emphasis on environmental 
technology. 

President Hooker then informed the Board of his desire to develop a policy to protect the 
University's interest in the areas of licensing fees, royalties and patent protection. He has asked General 
Counsel Kirby to collect programs from other universities, compare them and bring back a policy of our 
own to the Board in the near future. 

The Board then heard Reports from the Chancellors. 



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Chancellor O'Brien began his report by informing the Board of the success of the Minutemen in 
the NCAA Conference. He also spoke of the upcoming campus celebration of Multi-Culturalism 
scheduled for May Srtv He then talked about Amherst applications being up 4 percent and the campus's 
efforts to review undergraduate regulations student activities. The goal is .to help students with student- 
related problems. 

Chancellor Penney reported that two Professors from UMASS Boston have received a large grant 
for the use of user friendly in teaching algebra. She also mentioned Amanda Burton, a student from 
UMASS Boston, testifying to Congressional members in Washington D.C. of the need for national service 
legislation pointing out the older, non-traditional students requiring day care to attend college. She also 
reported on two students finishing third in the World Winter University games in Ice-Skating. 

Chancellor Penney went on to report of a three day conference with 20 leaders from the Italian 
government on Italian socialism and an event honoring Black scholarship with 34 Black scholars from all 
over New England in attendance. 

Chancellor Deck having reported to the Board earlier at breakfast introduced Dr. Harlyn O. 
Halzorson, Director of the Policy Center for Marine Sciences who spoke of the Center's work. 

Chancellor Hogan reported on the new incoming student group of 2000 of which 60% were 
freshmen and 40% transfer students; applications being up 20%. He also spoke of the Council on 
Economic Development consisting of two UMASS Lowell faculty committees. The first group hopes to 
define the economic theory. The second group will produce ideas and help educate in the economic 
development area. The council hopes to secure significant federal funding for industrial extension 
services and establish a network of campuses pursuing similar activity to help UMASS position itself in a 
visible leadership role in the new breed of academic institutions in economic development. 

Chancellor Lazare reported on the continuing crisis in medical care. The campus awaits the 
federal government's plan to solve the problems facing the health care issue. He talked of the efforts 
being made to receive federal monies for building more resource space and to develop a learning center. 

Trustee Taylor then gave the report of the Committee on Academic and Student Affairs which 
had met on March 31st. Items which the committee considered and recommended to the Board included 
A ppointment with Tenure, UMASS Amherst, and Awards of Tenure, UMASS Amherst, Boston and 
Worcester. It was moved, seconded and 

VOTED : To concur with the President in the appointment of Michael Lefever as Professor, 

Department of Hotel Restaurant and Travel Administration, with tenure at 
UMASS Amherst. (Doc. T93-025) 

and further, 

VOTED : To concur with the President in the award of tenure to the following individuals: 

Amherst 

Audrey Altstadt - History 

Nicholas Bromell - English 

Julie Brigham-Grette - Geology and Geography 

John Burand - Entomology 

Deborah Carl in - English 

Maciej Ciesielski - Electrical and Computer Engineering 

Douglas Cox - Plant and Soil Sciences 

Kourash Danai - Mechanical Engineering 



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Paul Dosal - History 

Robert Kusner - Mathematics and Statistics 

Ian Grosse - Mechanical Engineering 

Wei-Bo Gong - Electrical and Computer Engineering 

Curtice Griffin - Forestry and Wildlife Management 

Nicholas McBride - Journalism 

Ivan Mirkovic - Mathematics and Statistics 

Linda Nolan - Public Health 

William Oedel - Art History 

H. Dennis Ryan - Foresty and Wildlife Management 

Stephen Simkins - Plant and Soil Sciences 

John Tobiason - Civil Engineering 

Ron Welburne - English 

Jerri Willett - Education 

Michael Williams - Geology and Geography 



Boston 

Susan Haussler - Nursing 
Stephen Mrozowski - Anthropology 
James O'Toole - History 
Nancy Stieber - Art 

Worcester 



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Paul R. Dobner - Molecular Genetics and Microbiology 

S. Katherine Hammond - Family and Community Medicine 

Jeanne B. Lawrence - Cell Biology 

Peter Quesenberry - Medicine 

F. Marc Stewart - Medicine 

(Doc. T93-026) 

The next item, Contract Renewals. UMASS Dartmouth was a routine item. It was moved, 
seconded and 



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VOTED : To concur in the recommendation for contract renewals of faculty members at 

UMASS Dartmouth as contained in Doc. T93-027. 

Trustee Taylor then explained to the Board the process leading up to the next two items, 
Approval of a M.A . in Dispute Resolution Program. UMASS Boston and a Joint Ph.D. In Nursing 
Pro gram. UMASS Amherst. UMASS Worcester. The Dispute Resolution program was in the Stage 1 
process and appears to be a growing field with collaborative efforts taking place within area law schools. 

It was moved, seconded and 



VOTED : 



To approve the Masters in Dispute Resolution (Stage I) academic degree program 
at UMASS Boston as contained in Doc. T93-028. 



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The Joint Nursing Program has entered the Stage II process following the Academic Program 
Approval policy guidelines. This program will make the University a player in the health care policy 
issues facing the nation. Trustee Taylor also reported that the Lowell campus had submitted a Ph.D. 
program in Nursing which had been delayed by HECC a year ago. This program will be reactivated and 
submitted with the two programs approved today. It was then moved, seconded and 



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VOTED : To approve the joint Ph.D. in Nursing (Stage II) academic degree program at 

UMASS Amherst and UMASS Worcester as contained in Doc. T93-028. 

Trustee Spence then gave the report of the Committee on Administration and 'Finance which met 
on March 30th. The first item recommended by the Committee was Student Tuition . The Committee 
had had an extensive discussion about tuition increases and the proposed increases in Student Fees 
particularly at the Dartmouth campus. 

President Hooker pointed out the University's desire to move the Dartmouth campus in line with 
the other campuses, and to make the campus more of a research University as opposed to a state college. 
To do this will take a substantial amount of money. He also spoke of the University- wide tuition policy 
being worked on with the Chancellors where increases will be based on the consumer price index. 

Trustee Spence then asked that Tuition and Fees be voted separately. Chair Oakes asked for a 
motion to approve the tuition rates. It was moved and seconded. He then asked for discussion. Trustee 
Newnan then asked to have Amherst campus tuition voted separate from the Boston campus tuition and 
voiced his opposition to the increases. 

There was then discussion about the tuition and fees being presented as one package in the future 
and the rationale for raising fees at the Dartmouth campus to such high levels. Chancellor Deck 
explained to the Board that the increases would benefit the students in three areas: 1) increase in financial 
aid; 2) increasing services to students such as increasing the availability for computers and more sections 
of wide-demand courses; and 3) a major bonding effort to help reach funds to improve the infrastructure 
on campus. 

It was then 



VOTED : 



In accordance with Section 9 (i) of Chapter 15A of the General Laws, to 
recommend to the Higher Education Coordinating Council the following tuition 
rates for the 1993-94 Academic Year: 



TUITION 


From: 
FY1993 


TO: 


AtntWrST 

Undergraduate (resident) 


$2,134.00 


$2,220.00 


Undergraduate (non-resident) 


$8,237.00 


$8,566.00 


Graduate (resident) 


$2,671.00 


$2,778.00 


Graduate (non-resident) 


$8,237.00 


$8,566.00 


Boston 






Undergraduate (resident) 


$2,134.00 


$2,220.00 


Undergraduate (non-resident) 


$8,237.00 


$8,568.00 


Graduate (resident) 


$2,672.00 


$2,780.00 


Graduate (non-resident) 


$8,238.00 


$8,568.00 


Dartmouth 






Undergraduate (resident) 


$1,766.00 


$1,837.00 


Undergraduate (non-resident) 


$6,652.00 


$6,919.00 


Graduate (resident) 


$2,121.00 


$2,206.00 


Graduate (non-resident) 


$6,652.00 


$6,919.00 



Lowell 



Annual 

Dollar 

Change 

$86.00 
$329.00 
$107.00 
$329.00 



$86.00 
$331.00 
$108.00 
$330.00 



$71.00 
$267.00 

$85.00 
$267.00 



% Change 

4.0% 
4.0% 
4.0% 
4.0% 



4.0% 
4.0% 
4.0% 
4.0% 



4.0% 
4.0% 
4.0% 
4.0% 



i 



V Undergraduate (resident) 

Undergraduate (non-resident) 
Graduate (resident) 
Graduate (non-resident) 

Worcester 

Undergraduate (resident) 
Undergraduate (non-resident) 
Graduate (resident) 
Graduate (non-resident) 
Medical School 



$1,847.00 
$6,758.00 
$2,215.00 
$6,758.00 



$2,671.00 
$8,237.00 
$8,578.00 



$1,884.00 
$7,028.00 
$2,260.00 
$7,028.00 



$2,738.00 
$8,566.00 
$8,792.00 



$37.00 
$270.00 

$45.00 
$270.00 



$67.00 
$329.00 
$214.00 



2.0% 
4.0% 
2.0% 
4.0% 



2.5% 
4.0% 
2.5% 



Trustees McNeil, Newnan and Vittimberga voted against the motion. 

The Student Fees were then moved, and seconded. Trustee Tobin then spoke in great length of 
the added financial burden being placed on the students from the Dartmouth campus and his concerns 
with student retention. It was then 



VOTED : 



To establish the following Curriculum Support Fees for the 1993-94 Academic 
Year: 



1 



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Amherst 
Curriculum Fee: Undergraduate 
Student Activities swap 
Instructional Lab Fees swap 

Total Curriculum Fee 

Curriculum Fee: Graduate 
Instructional Lab Fees swap 

Total Curriculum Fee 

Boston 

Curriculum Fee: Undergraduate 
Curriculum Fee: Graduate 

Dartmouth 
Curriculum Fee: Undergraduate (resident) 
Curriculum Fee: Undergraduate (non-resident) 
Curriculum Fee: Graduate (resident) 
Curriculum Fee: Graduate (non-resident) 

Lowell 
Curriculum Fee: Undergraduate 
Curriculum Fee: Graduate 

Worcester 



From: 
FY1993 



$1,139.00 
$1,139.00 
$1,139.00 
$1,139.00 



$2,594.00 
$2,594.00 



TO: 

FY1994 



$1,872.00 $1,947.00 



$1,872.00 $2,055.00 



$1,633.00 $1,699.00 



$1,633.00 $1,734.00 



$1,664.00 $1,730.00 
$1,664.00 $1,730.00 



$1,469.00 
$1,843.00 
$1,529.00 
$1,843.00 



$2,646.00 
$2,646.00 



Annual 

Dollar 

Change 



$75.00 
$33.00 
$75.00 

$183.00 

$66.00 
$35.00 

$101.00 



$66.00 
$66.00 



$330.00 
$704.00 
$390.00 
$704.00 



$52.00 
$52.00 



% Change 



4.0% 



4.0% 



4.0% 
4.0% 



29.0% 
61.8% 
34.2% 
61.8% 



2.0% 
2.0% 



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Curriculum Fee: Medical School 
Curriculum Fee: Graduate 



$1,000.00 
$312.00 



$1,000.00 
$312.00 



$0.00 
$0.00 



0.0% 
0.0% 



Trustees Newnan and Vittimberga voted against the motion. 

It was then moved, seconded and 

VOTED : To establish the following Residence Hall and Board fees for the 1993-94 

Academic Year: 






Amherst 
Average Room 
Average Board 
Telecommunications 



Boston 



N/A 
N/A 



Dartmouth 
Average Room 
Average Board * 

Lowell 

Average Room 
Average Board 
Telecommunications 



Worcester 



N/A 
N/A 



* based on a 19 meal plan per week 
And further, 



From: 
FY1993 



$1,992.00 

$1,632.00 

$69.00 



$2,537.00 
$1,934.00 



$2,390.00 

$1,702.50 

$80.00 



TO: 

FY1994 



$2,116.00 

$1,712.00 

$69.00 



$2,588.00 
$2,002.00 



$2,390.00 

$1,774.00 

$80.00 



Annual 

Dollar 

Change 



$124.00 

$80.00 

$0.00 



$51.00 
$68.00 



$0.00 

$71.50 

$0.00 



% Change 



6.2% 
4.9% 
0.0% 



2.0% 
3.5% 



0.0% 
4.2% 
0.0% 



VOTED : 



To establish the following mandatory student fees for the 1993-94 Academic 
Year: 



OTHER FEES 

Amherst 
Athletic Fee 
Authority Fee 
Fine Arts Center 
Student Activities 
Student Health 



From: 


TO: 


FY1993 


FY1994 


$182.00 


$199.00 


$306.00 


$406.00 


$60.50 


$62.00 


$112.50 


$84.00 


$395.00 


$441.00 



Annual 

Dollar 

Change 

$17.00 

$100.00 

$1.50 

$28.50- 

$46.00 



% Change 

9.3% 
32.7% 

2.5% 
25.3% 
11.6% 






! 



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Boston 
Athletic Fee 
Health Services Fee 



Dartmouth 

General (Student) Activity Fee 

Worcester 

Health /Counseling Fee 



$90.00 $100.00 

$94.00 $114.00 



$175.00 



$320.00 



$190.00 



$380.00 



$10.00 
$20.00 



$15.00 



$60.00 



11.1% 
21.3% 



8.6% 



18.8% 



Trustee Spence then reported that the Committee on Administration and Finance had 
recommended changes in language in several Trust Funds at UMASS Amherst . It was moved, seconded 
and 



VOTED : 



To approve the following change to the Statement of Trust of the Career Services 
Trust Fund at UMASS Amherst: 



) 



And, 



From : The computerized Assisted Referral System (CARP) of the Career Services trust 
fund provides a computerized job referral system that matches students and 
alumni with employment opportunities. The system also provides a printout of 
profiles to employers who call with immediate openings. 

To : The Career Services trust fund supports all of the information systems which 
the Mather Career Center uses to provide students and alumni with state-of- 
the art career information, job matching and employment referral services. 



VOTED : 

From : 



> 



To approve the following change to the Statement of Trust of the Residence Halls 
and Family Housing Trust at UMASS Amherst: 

The purpose of this trust is to provide for the operation, repair and maintenance, 
and custodial care of all campus residence halls and family housing apartments, 
and for hall security, residential staffing and appropriate programming for 
residents in order to ensure a safe, clean, good physical condition and quality 
living environment at the lowest possible costs. The fund includes services for 
capital repairs and replacements, and rehabilitation of all facilities, furnishings, 
equipment for all campus student housing facilities including UMB Authority 
student housing facilities. The trust fund also includes the provision of 
telephone service, cable television service, and access to computers for all 
residence halls and family housing apartments. 

To : The purpose of this trust is to provide for the operation, repair and maintenance, 

and custodial care of all campus residence halls and family housing apartments, 
and for hall security, residential staffing and appropriate programming for 
residents in order to ensure a safe, clean, good physical condition and quality 
living environment at the lowest possible costs. This fund includes established 
and future reserves for capital repairs, replacements and rehabilitation of all 



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facilities, furnishings, and equipment for all campus student housing facilities 
including all UMASS Building Authority student housing facilities. The trust 
fund also includes the provision of telephone service, cable television service, 
and access to computers for all residence halls and family housing apartments. 



r 



And further, 



VOTED : 



From: 



To approve the following change to the Statement of Trust of the Residential 
Activity Program Trust at UMASS Amherst: 

The purpose of this fund is to develop activities which enhance the quality of life 
for students in residence halls and family housing apartments. This 
programming has one of two basic types of funding: a self-supporting fee base or 
a specific source of funding from another campus agency. The fee-based 
programming is voluntary and includes evening activity centers and similar 
activities. The specific source funded programming is directed by the Residential 
Education and other relevant staff to address the recreational, cultural and 
educational needs of residents. 



And, 



VOTED : 



To : This fund contains a variety of programs which enhance the quality of life for 
students in residence halls and family housing apartments by addressing their 
educational, cultural, and recreational needs. The programming is supported 
by anyone or a combination of the following: voluntary charges such as House 
Council dues or direct program charges or funding from other campus agencies. 
The programming is directed or overseen by the Residential Education staff. 



To approve the following change to the Statement of Trust of the 
Telecommunication Network Services Trust at UMASS Amherst: 



r 



From : The Telecommunications Network Services Trust Fund is used for charging 
telephone expenses to non-state accounts and members of the Five Colleges, Inc. 
and for issuing payment for telecommunications, networking and video services. 

T o : The Telecommunications Network Services trust is used for charging telephone 
expenses to non-state accounts, other entities housed on campus and members 
of Five Colleges, Inc. and for issuing payment for telecommunications, 
networking and video services. 

The next item was the selection of an Investment Banker . Trustee Spence stated that as the 
University goes forward financing and refinancing, an investment banker needed to be selected. A 
Subcommittee of the Board had attended presentations by several different investment bankers. A 
process was then followed with HEFA and out of that process came a proposal to select Goldman-Sachs 
because of their experience and general ability to understand the needs of this University. Trustee DiCara 
inquired about the University entering into a contract with Goldman-Sachs and Vice President Lenhardt 
reported that it had been worked out. 

It was then moved, seconded and 



VOTED : To ratify the President's selection of Goldman-Sachs and Company as the 

University's investment banker. 

The next item was the Capital Budget Plans . President Hooker reported to the Committee that 
following last night's discussion on this issue, General Counsel Kirby had re-drafted the resolution and 



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Vice President Lenhardt had revised the application of funds for the $52 million in facilities renewal 
projects that will be addressed in the proceeds of the bond issue, the non-refinancing part of the bond 
issue. The Board had expressed the desire that it have the opportunity to review and approve the final 
plan for issuance of debt both to refinance and to finance facilities renewal projects. 

President Hooker then asked that the motion before them be amended to delegate to the 
President the authority to take such actions necessary to finance and refinance some or all of the 
Outstanding Bonds of the Building Authorities. . . . subject to the final approval of the Board of 
Trustees . Delegation to the President to take such actions to effectuate the financing of new debt of up to 
$52 million dollars for renovation of buildings, etc. shall be provided that the Board have final approval 
of the project list an d debt service plan and that the President provide the Board w ith a report in 
support of financing of such projects , etc. Trustee DiCara then asked the Board be provided with a list 
of debt for each of the building authorities and reiterated the need for an agreement with Goldman-Sachs, 
what the fee structure will be for services provided and what procedures will be followed. 

President Hooker pointed out that savings from refinancing building authority debt will go back 
to the students in the form of reduced student cost of housing. Chair Oakes then asked the Infrastructure 
Committee to work with the President because of the work already done by that Committee in 
identifying projects that need immediate work. It was then moved, seconded and 



VOTED : 



WHEREAS, there are various priority capital projects on each of the five 
campuses to be undertaken at the University, including several required for 
health and safety purposes and economic development initiatives; 



WHEREAS, there are currently approximately $154 million of bonds outstanding 
(the "Outstanding Bonds") which were issued by the University of Lowell 
Building Authority, the Southeastern Massachusetts University Building 
Authority and the University of Massachusetts Building Authority (collectively, 
the "Building Authorities"), and the proceeds of these bonds were used to finance 
the construction and renovation of dormitories and other facilities on the 
campus; 

WHEREAS, the revenues generated by such dormitories and other facilities, 
including all dormitory fees (the "Revenues"), belong the Building Authorities 
and are pledged by the Building Authorities as security exclusively for the 
owners of their Outstanding Bonds; 



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WHEREAS, each of the Building Authorities are at or near the limits imposed by 
the state legislature on their ability to issue additional bonds to finance 
additional capital projects on behalf of the University; 



WHEREAS, there are currently approximately $25 million of other outstanding 
obligations of the University, including two loans under the Massachusetts 
Health and Educational Facilities Authority ("HEFA") Capital Asset Program 
Issue, Series E and the Lease Purchase Agreement dated as of September 1, 1988 
between U.M. Limited Leasing Corp. and the University (the "Outstanding 
University Obligation"); 



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WHEREAS, pursuant to the provisions of Chapter 653 of the Acts of 1989, the 
state legislature has now authorized HEFA to issue bonds to finance and 
refinance capital projects undertaken on behalf of the University; 

WHEREAS, the University wants HEFA to issue bonds on its behalf to finance 
certain capital projects; 



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WHEREAS, the University can get the highest possible credit rating and HEFA 
can issue bonds for the University at substantially lower interest rates if the 
Revenues currently pledged exclusively to the Building Authorities' bondholders 
were also made available to the HEFA bondholders; 

WHEREAS, the only way to make the Revenues available to the HEFA 
bondholders is for the University to direct HEFA to refinance the Outstanding 
Bonds of the Building Authorities and for the Building Authorities to approve 
such refinancings; 

WHEREAS, the University can also realize certain significant savings by 
refinancing the Outstanding Bonds of the Building Authorities at current 
historically low interest rates; 

WHEREAS, HEFA's ability to obtain the lowest possible interest rates for the 
University may be enhanced by also refinancing the Outstanding University 
Obligations; 

WHEREAS, in order to take advantage of the current favorable interest rate 
environment for the refinancing of existing Building Authority bonds and the 
Outstanding University Obligations and financing of new capital projects, the 
University must undertake such financing and refinancing as soon as possible; 

NOW, THEREFORE, BE IT RESOLVED: 

Subject to final approval of the Board of Trustees, 

(1) to delegate to the President of the University the authority to take such 
actions, execute such agreements and grant such security interests in revenues 
and assets of the University as he may determine to be advisable, necessary or 
convenient to effectuate the refinancing of some or all of the Outstanding Bonds 
of the Building Authorities and the Outstanding University Obligations, through 
the issuance of one or more issues of bonds by HEFA and to authorize the 
President if he deems it advisable to request the Building Authorities to vote to 
redeem their respective outstanding bonds using the proceeds from the bonds to 
be issued by HEFA for such purposes. 

And, 

(2) to delegate to the President of the University the authority to take such 
actions, execute such agreements and grant such security interests in revenues 
and assets of the University as he may determine to be advisable, necessary, or 
convenient to effectuate the financing of new debt of up to $52 million dollars of 
projects for maintenance repair and renovation of buildings and facilities of the 
University, provided that the Board shall have final approval of the project list 
and debt service plan. 

And further, 

To authorize and direct the President of the University to determine the 
advisability of financing debt for new capital projects and to provide the Board 
with a report in support of financing of such projects which includes pro forma 



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projection of debt service cost and campus plans to support debt service cost. 
(Doc. T92-118B) 



The next item was the Intra-Campus Hospital Loan. UMASS Worcester . It was moved, 
seconded and 

VOTED : To approve an intra-campus loan of ten million dollars to the University 

Teaching Hospital from funds available from the Research Trust Fund and/or 
the Medical School Trust Fund as determined by the Treasurer under the terms 
specified in the draft loan agreement. The term to be for a period of twenty-six 
months with an option to renew for a one year term, with an interest rate set at 
prime. Interest to be paid quarterly on the average balance outstanding during 
this period. (Doc. T93-031) 

The next item was approval of Audits . It was then moved, seconded and 

VOTED : To accept the following Audits: 

• University-wide Follow-up Audit of Reportable Conditions and Related 
Management Letter Comments (Doc. T93-027) 

•Intercollegiate Athletics Program Audit Report, UMASS Amherst (Doc. T93- 
032) 

•Related Booster Organization, FY1992 Agreed Upon Procedures Audit Report, 
UMASS Amherst (Doc. T93-033) 



Trustee Neal then asked to make a motion to roll tuition and the curriculum fee into one vote. 
President Hooker said this issue involves a great deal of discussion and negotiation with the State 
involving tuition waivers. Chair Oakes suggested that the President look at this issue and come back to 
the Committee on Administration and Finance with a recommendation. 

Trustee Lewenberg then gave a Report on the Committee Athletics . He reported that there had 
not been a meeting since the last Board meeting but that the next meeting in May would take up the 
review and evaluation of each of the athletic programs. He also mentioned the tremendous success on all 
four campuses in athletics and how these successes are a window of the quality the University and the 
programs that we have and the ability of our athletic programs is very important. 

He then said he would be sending out notes to the Trustees that outline the many student athletes 
that have distinguished themselves and the University with their athletic and academic achievements. 
He went on to mention Coach and Athletic Director, Charlie Titus with his 200th basketball win, the best 
ever finish in Middle east conference play; in Lowell the Women's basketball team won the New England 
Collegiate Conference and advanced to the NCAA tournament final 16. Also at Lowell the men's hockey 
team finished third in Hockey East and was a contender for the NCAA title. Lowell has also hired a 
permanent football coach. Amherst has a new Athletic Director and the opening of the Mullins Center 
was also mentioned. He stated further that the work the campuses are doing in the area of athletics is 
benefiting the entire University. 

Chair Oakes then gave the report of the Executive Committee. The first item was Approval of 
the Hospital Management Board Minutes . It was moved, seconded and 

VOTED : To approve the minutes of the January 27, and February 24th, 1993 Hospital 

Management Board including the unaudited financial statements of November 



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and December, 1992 and January, 1993, and the Medical Staff Appointments and 
Reappointments for November and December, 1992 and January, 1993. 

Further, to support the Finance Committee's recommendation to terminate the 
third bid process on the patient accounting system based on non-compliance 
with required standards. 

And further, to accept the revised Clinical Privilege Forms on Delineations for 
Emergency Medicine and Hospital Labs/Clinical Pathology. (Doc. T93-038) 

The next item was Amendments to the By-Laws at the UMASS Hospital. It was moved, 
seconded and 

VOTED : To approve the amendments to the By-Laws of UMASS Hospital as described in 

Doc. T90-055B. 

The next item was Naming of Building, UMASS Boston . The Boston campus is recommending 
the Astronomical Observatory be named in honor of Dr. Arthur Martin, its late Director. Chancellor 
O'Brien asked that the naming of the Health Center at the Amherst campus recommended by the 
Executive Committee yesterday, be delayed. The motion was amended and it was moved, seconded and 

VOTED : To name the Astronomical Observatory at UMASS Boston in honor of its primary 

designer and late Director, Dr. Arthur Martin. (Doc. T93-040) 

The next item was Honorary Degrees, UMASS Amherst, Dartmouth and Worcester . It was 
moved, seconded and 

VOTED : To award honorary degrees to those individuals agreed upon in Executive 

Session and to instruct the Chancellors to proceed with the necessary 
arrangements. 

The next item was Update on the Chancellor's Searches, UMASS Amherst, UMASS Dartmouth . 
Trustee DiCara reported that the search at the Dartmouth campus was down to four candidates. These 
candidates are in the process of visiting the campus after which time the Search Committee will meet and 
recommend a short list to President Hooker late in April, early May. 

In Trustee Spence's absence President Hooker reported that the candidates for Chancellor at the 
Amherst campus have visited the campus and recommendations are due in the very near future. 

The meeting adjourned at 11:40 a.m. • 

Jarbara DeVico '^^ v 
Staff Assistant 




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> 



UNIVERSITY OF MASSACHUSETTS 
AMHERST • B OSTON 'DARTMOUTH • LOWELL • WORCESTER 



MINUTES OF THE SPECIAL MEETING OF THE 
BOARD OF TRUSTEES 

Thursday, May 6, 1993; 10:00 a.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Trustees and Trustee Staff: Chair Oakes, jr., Chair; Trustees Bogan, DiCara, Finnerty, Flores, 
Foley, Haynes, Karam, Newnan, O'Leary, Poduska, Solomont, Spence and Tobin 

Trustee Members Absent: Trustees Bok, Lewenberg, Reed and Taylor 

University Administration : President Hooker 

Chair Oakes convened the special meeting of the Board at 10:10 a.m. The purpose of the 
meeting was to act on the recommendations for Appointment of Chancellors at UMASS 
Amherst and UMASS Dartmouth . 



> 



President Hooker commended the Chairs of the Search Committees, the membership and the 
campus community for their participation in the process. These searches, he said, were both 
remarkable, culminating in marvelous appointments. 

Trustee Spence, Chair of the Amherst Search Committee, also thanked the Search Committee 
for their efforts and the many hours put into the process. She reviewed the process, noting that, 
out of seventy-eight names, fifty-one became active candidates, ten of whom were African 
American or Hispanic. The Committee screened the list down to fourteen candidates, seven of 
whom were African American or Hispanic or women. She added that she was delighted in the 
recommendation of David Scott. 



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President Hooker then made his recommendation of David Scott as Chancellor at the 
Amherst campus. He spoke about the crucial importance of having Chancellors who understand 
both the changes taking place in the world and the changes that must take place in Universities to 
accommodate the needs of the state of Massachusetts - particularly in the context of the broader 
economic changes taking place worldwide. He spoke about the needs of the Amherst campus 
and of four areas that are particularly important. First and foremost is the changing world, the 
economy and the environment in terms of multi-culturalism. President Hooker spoke of his visit 
to Michigan State, where he talked with several people who work with David Scott. During these 
conversations, it became apparent that his ability to adapt to a changing world is the clearest and 
most impressive of David Scott's many strengths. Another area which President Hooker cited as 
being of crucial importance is quality improvement in undergraduate education. He was 
enormously impressed to hear the multitude of favorable comments which Dr. Scott's colleagues 
made in praise of his commitment to undergraduate education. President Hooker talked about 
the fact that the UMASS Amherst campus has by far the largest quantity of faculty research in the 
university system and it is a faculty that is recruited for its ability to do research. He noted how 
important it is that the Chancellor understands how to nurture the faculty research climate. At 
Michigan State, David Scott received enormous praise for the work he did in that area. Finally, 
probably the most important area of change and certainly the most radical one that will take 
place at Universities in the next decade is in the area of bringing our resources into the changing 
and developing economies of our regions and state. Once again, Dr. Scott is recognized at 
Michigan State as the individual who most clearly understands these issues and how they relate 



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to the mission of the research university. President Hooker said that he was enormously pleased 
to be able to recommend David Scott as Chancellor of the University of Massachusetts Amherst. 

It was then moved, seconded and 

VOTED : To concur with the President in the appointment of Dr. David K. Scott of 
the University of Massachusetts Amherst at an annual salary of $150,000 
effective July 1, 1993 for an initial three year term and thereafter to serve 
at the pleasure of the President and the Board. 

Chancellor-Elect Scott then thanked the Board. He spoke about his sense of expectation, 
exhilaration and trepidation. He expressed heartfelt appreciation and gratitude to all who had 
made this dream possible for him. First, he thanked the Board of Trustees and President Hooker 
for the trust that was demonstrated through this action. He then thanked Trustee Spence, Vice 
President Story and all the members of the Committee for their meticulous search. Finally, he 
thanked the faculty, staff and students who voiced support for him, as well as those who did not. 
He said that the non-supporters were inevitable in an appointment of this sort, and that they 
serve to remind him of his weaknesses and of the areas in which he needs to improve. He also 
thanked his family for the support given to him and introduced his wife, Kathleen, who is excited 
about this opportunity. 

He spoke about his good fortune in becoming a Chancellor at this time, when there is a new 
president and a new vision for the University. He said he would fight diligently for the needs 
and goals of the Amherst campus, but will be a team player. He stated that a major goal for the 
future of the Amherst campus must be the integration and building of, and the sense of a new 
community. 

Chair Oakes then called on Trustee Lawrence DiCara, who chaired the UMASS Dartmouth 
Search Committee. He, too, thanked the Trustees who served on the Search Committee with him, 
as well as the members of the Committee and Vice President Boyd. In reviewing the process, he 
said one-hundred and twenty resumes were received, nineteen people had references checked, 
and four people were invited to the campus and recommended to the President. He then spoke 
about the beginning of a new era with the appointment of Peter Cressy as Chancellor at UMASS 
Dartmouth. 

President Hooker then acknowledged the able stewardship of Chancellor Deck during the 
interim. 

He spoke about the changes in Mass Maritime during the two year tenure of Peter Cressy. 
He expects that Dr. Cressy will do the same thing at UMASS Dartmouth. President Hooker also 
spoke about the unrealized potential of the Dartmouth campus and the fact that Peter Cressy will 
be the creative entrepreneur who is capable of realizing the potential that is represented at that 
campus. He spoke of Peter Cressy's political skills and outreach, and of his worldwide network 
in the maritime sciences, which is also to be the dominant factor in the future of the campus. 



{ 



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It was then moved, seconded and 

VOTED : To concur with the President in the appointment of Dr. Peter Cressy as 

Chancellor of the University of Massachusetts Dartmouth at an annual salary of 
$125,000 effective July 1, 1993 for an initial three year term and thereafter to serve 
at the pleasure of the President and the Board. (Doc. T93-046) 

Chancellor-Elect Cressy then thanked Trustee DiCara, President Hooker, the Committee and 
staff for their enormous effort and expressed gratitude for the support given to him during the 
decision process. He also added his thanks to Chancellor Deck. He said that it was, in his 
judgment, an obvious time to begin to celebrate the great strengths of UMASS Dartmouth, since 
the University has the opportunity to be cited as both a great teaching and research institution. It 
is, in his opinion, time to move on, and to do a service to the students, the University and the 
larger community it serves. He also spoke about his commitment to excellence and respect for 
diversity and assured the Board that he would continue to move in total support of that diversity. 

The Board then formally expressed its thanks to the members of the Search Committee. It 
was then moved, seconded and 

VOTED : To comment and thank the Chair and members of the Chancellor's 

Search Committee for their time, effort, and commitment in the search for 
a Chancellor at the University of Massachusetts Amherst: 



And further, 
VOTED : 



Trustee Rina K. Spence, Chair 
Trustee Heriberto Flores 
Trustee Robert S. Karam 
Trustee Kevin Newnan 
Professor Jane K. Giacobbe 
Ms. Joyce Hatch 
Dean Bailey W. Jackson 
Mr. Marc D. Kenen 
Professor Abel Poince de Leon 
Professor Roger Porter 
Professor Robert Schwartzwald 
Professor Esther M.A. Terry 
Mr. William R. Thompson 
Dean Jo-Anne T. Vanin 
Mr. Paul Wennik 
Dr. Ronald Story 
Ms. Anna Donoghue 
Nita D. Hasan 



To commend and thank the Chair and members of the Chancellor's 
Search Committee for their time, effort, and commitment in the search 
for a Chancellor at the University of Massachusetts Dartmouth: 



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Trustee Lawrence S. DiCara, Chair 
Trustee Daniel E. Bogan 
Trustee Ogretta V. McNeil 
Trustee Kevin Tobin 
Professor John Dowd 



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Associate Professor John Rice 

Professor Rita O'Neil 

Associate Professor Yong Ku Kim 

Professor Judith Sims-Knight 

Associate Professor Barbara Eckhardt 

Ms. Marilyn Roderick 

Mr. Donald Howard 

Ms. Joyce Passos 

Mr. Joseph DeAngelo 

Mr. John Theriault 

Mr. Laslo Boyd 

Ms. Diane Tkachuk 

Ms. Joyce LeBlanc 

Chair Oakes then called for a motion to go into Executive Session to discuss the Award of 
Honorary Degrees . It was moved, seconded and 

VOTED : To go into Executive Session. 

The time was 10:30 a.m. Chair Oakes voted for the motion as did Trustees Bogan, DiCara, 
Finnerty, Flores, Foley, Haynes, Karam, Lewenberg, McNeil, Newnan, O'Leary, Poduska, 
Solomont, Spence and Vittimberga. 

The meeting adjourned at 10:55 a.m. 

Cynthia A. Fontaine 

Secretary to the Board of Trustees 







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UNIVERSITY OF MASSACHUSETTS 
AMHERST 'BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, June 2, 1993; 9:15 a.m. 

Cumnock Hall 

Board Room 

University of Massachusetts 

Lowell, Massachusetts 

Trustees and Trustee Staff : Chair Oakes; Trustees Bogan, Bok, DiCara, Finnerty, Flores, Foley, 
Haynes, Karam, Lewenberg, Loh, Neal, Newnan, O'Leary, Poduska, Solomont, Spence, Taylor, 
Tobin and Vittimberga; Mrs. Fontaine, Secretary to the Board of Trustees 

Trustee Members Absent : Trustees McNeil, Reed and Robertson 

University Administration : President Hooker; General Counsel Kirby; Vice Presidents Lenhardt 
and Story; Chancellors O'Brien, Penney, Deck, Hogan and Lazare; Chancellor-elect Cressy, 
UMASS Dartmouth 

Chair Oakes convened the meeting at 9:40 a.m. and welcomed Mr. Thomas Winston, former 
Student Trustee from UMASS Lowell to the meeting. 

The first item was Consideration of the Minutes of the previous meeting of the Board. It 
was moved, seconded and 

VOTED : To approve the minutes of the April 7, 1993 meeting of the Board. h 

It" 

President Hooker then gave his report. He spoke about the most important issue at hand h 

which was the budget. In comparing the budget to last year, he expressed his pleasure in the o 

recommended House budget. He also spoke about his happiness in the support generated in the 
Legislature for the University. He then spoke of two issues of concern, first the lack of Tuition 
Retention in the House budget and, second, the issue of capital financing. He then talked briefly 
about the financing of the fine arts building at Amherst and went on to discuss the health and 
safety needs all of the campuses. He said that these needs are the most important and that they 
must be met. Lastly, he mentioned that there is excellent support from the Division of Capital 
Planning and Operations about the capital financing and commended Vice President Lenhardt 
who has been working closely with members of their staff. 

The Board then heard Reports from the Chancellors. Chancellor Hogan then reported that ^ 
National Accreditation for the Lowell campus had been approved and he thanked the faculty for 

their efforts. On the subject of enrollments, he announced an increase of 10% in enrollment but w c 

noted concern about the dormitory situation. f« o 

Chancellor Lazare, began his report speaking about the strategic planning process on *-< 

campus. He then talked about education and outlined what has been done in terms of 
developing a systematic study reviewing the need for change, changes in medical practice, 
changes in the governance of the Medical School, and the development of a set of goals to drive "^ 

the curriculum. z 

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Chancellor Deck spoke, saying that he was very pleased that Dr. Cressy would be taking over 

as his replacement. Speaking about the upcoming UMASS Dartmouth commencement this 



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Sunday, he noted that Terry Anderson was the speaker and Arthur Ashe would be awarded an 
Honorary Degree posthumously to be received by his brother. 

Chancellor Penney began her report by informing the Board that the UMASS Boston 
commencement would take place this Saturday, and that there would be 2,400 graduates. She 
spoke about the upcoming symposium in honor of Robert Kennedy to be held at the Kennedy 
Library which would focus on the concepts of democracy and justice. 

Chancellor O'Brien spoke about the UMASS Amherst Commencement, where there were 
4,000 students and 20,000 visitors. He mentioned that John Updike had given the 
Commencement speech. He also talked about the fact that the University is in the planning stage 
of building a physical plant and that a lot of their faculty members are involved in this process. 
He mentioned multi-culturalism as an important current issue on campus. As an adage to this, 
he said that last semester had been free of the racial tensions of the past and that an African- 
American Student Trustee had been elected, as well as a Hispanic president. 

Trustee Poduska was then asked to give the report of the Committee on Academic and 
Student Affairs. The first item was Appointments With Tenure. U MASS Amherst. Boston and 
Lowell . He then named the candidates. Trustee Flores voiced concern about the lack of tenure in 
general to females and minorities. Vice President Story spoke on the issue, saying that there is an 
increasing diversity of faculty on all campuses, but that it is still difficult to find Hispanic 
Americans in the Engineering field. He mentioned that the Board of Higher Education is 
attempting to grow its own candidates. Trustee Bok asked if there was a copy of faculty 
appointment procedures on each campus and if the procedures were as good as they can be to get 
the quality faculty that the Board desires. 

President Hooker responded to this by saying that the procedures were Trustee approved. 
He added the fact that the Strategic plan commits to diversity, in order to attempt to increase the 
number of faculty in the minority area. Trustee Bok asked for a copy of the hiring and affirmative 
procedures, and Trustee Loh asked what the basis was for awarding tenure. It was then agreed 
that the full Board would receive the procedures for review. 

It was moved, seconded and 

VOTED : To concur with the President in the appointments of John Carlstrom as Associate 
Professor, Department of Physics and Astronomy and Bruce Novak as Associate 
Professor, Department of Polymer Sciences and Engineering, with tenure at 
UMASS Amherst; 



and, 



and further, 



To concur with the President in the appointment of Judith Smith as Associate 
Professor, Department of American Studies, with tenure at UMASS Boston; 



To concur with the President in the appointment of William Lazonick as Professor, 
Department of Policy and Planning, with tenure at UMASS Lowell. (Doc. T93-052) 



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The next item was Awards of Tenure . It was moved, seconded and 

VOTED : To concur with the President in the award of tenure to the following individuals: 

Amherst 

Genevieve Chandler - Nursing 

Aura Ganz - Electrical and Computer Engineering 

Michael Skrutskie - Physics and Astronomy 

Po-zen Wong - Physics and Astronomy 

Boston 

Carolyne Arnold - Human Services Center 

Oscar Gutierrez - Management Science and Information Systems 

Rick Houser - Counselor Training and School Psychology 

(Doc. T93-053) 

The next item was Award of Tenure, UMASS Amherst . It was moved, seconded and 

VOTED : To approve the award of tenure to Michael K. Hooker as Professor, Department, of 
Philosophy at UMass Amherst. (Doc. T92-065A) 

The next item was approval of an updated Code of St udent Conduct at UMASS Amherst. It 
was moved, seconded and 

VOTED : To approve the amendments to the Code of Student Conduct at UMASS Amherst 
as described in Doc. T93-055A. 

The last action item, Policy for Awarding Emeritus Status extends the current University 
policy to a five-campus system. It was moved, seconded and h 

f 
VOTED : To approve the University Policy on Awarding Emeritus Status as contained in 

Doc. T93-054. Further, to rescind Doc. T81-021, and all other policies (or any part o 



thereof) currently in effect in the University which are inconsistent herewith. 



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Trustee Poduska then mentioned other academic issues which the Committee had discussed 
specifically, the paper prepared by Vice President Story on Inter-campus academic collaboration. 
He also mentioned that the Committee would try to organize its agendas and meetings to focus 
on such issues as communication in the teaching environment. |-j 

Trustee Spence, then gave the Report of the Committee on Administration and Finance. The 
first item was the Capital Plan . She reported that there was a discussion at the Committee 
meeting of the importance of the infrastructure needs at each of the campuses and the need to 
prioritize maintenance projects. She added that a proposal was made to increase the amount 
borrowed to $100,000,000 to deal with more of the health and safety issues. She asked the Board w o 

to move forward with the motion with the understanding that there would be further discussion pa o 

about how to go forward with the allocation of funds. There was then a discussion about the m > 

inclusion of the Building Authorities. It was moved, seconded and m- 

VOTED : WHEREAS, there are various priority capital projects on each of the five campuses 

to be undertaken at the University, including several required for health and safety -^ 

purposes; 

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WHEREAS, there are currently approximately $154 million of bonds outstanding 
(the "Outstanding Bonds") which were issued by the University of Lowell Building m 

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Authority, the Southeastern Massachusetts University Building Authority and the 
University of Massachusetts Building Authority (collectively, the "Building 
Authorities"), and the proceeds of these bonds were used to finance the 
construction and renovation of dormitories and other facilities on the campuses; 

WHEREAS, there are currently approximately $32 million of other outstanding 
obligations of the University, including two loans under the Massachusetts Health 
and Educational Facilities Authority CHEFA") Capital Asset Program Issue, Series 
E and the Lease Purchase Agreement dated as of September 1, 1988 between U.M. 
Limited Leasing Corporation and the University (the "Outstanding University 
Obligations"); 

WHEREAS, pursuant to the provisions of Chapter 653 of the Acts of 1989, the state 
legislature has now authorized the Health and Education Facilities Authority 
("HEFA") to issue bonds to finance and refinance capital projects undertaken on 
behalf of the University; 

WHEREAS, the University wants HEFA to issue bonds on its behalf to finance 
certain capital projects; 

WHEREAS, the University of Massachusetts Board of Trustees is committed to 
insuring that each campus address the health, safety, and deferred maintenance 
problems within the physical plant of that campus in a timely and appropriate 
fashion and that critical problems are addressed as top priorities; 

WHEREAS, the Board of Trustees believes, as a general rule, that each campus 
should be responsible for insuring that campus revenues exist that are capable of 
meeting the financial obligations of capital projects for that campus; 

WHEREAS, the Board of Trustees further believes that if a campus has a plan 
which insures capital projects will be undertaken in accordance with the foregoing 
principles, then that campus should be permitted to propose additional capital 
expenditures to meet other programmatic needs which further that campus' 
strategic plan; 

NOW, THEREFORE, BE IT RESOLVED, 

To request the President to retain a consulting engineer to insure that campus 
health, safety, and deferred maintenance problems within the physical plant of the 
five campuses are being addressed, and that critical problems on each campus are 
recognized as such, and to authorize and direct the President to report back to the 
Board with the results of that review; 



To delegate to the President of the University the authority to take such actions, 
execute such agreements, and grant such security interests in revenues and assets 
of the University as he may determine to be advisable, necessary, or convenient to 
effectuate the financing of up to $100,000,000 of capital projects and the refinancing 
of some or all of the Outstanding Bonds of the Building Authorities and the 
Outstanding University Obligations, through the issuance of one or more issues of 
bonds by HEFA and to authorize the expenditure of capital project funds in 
accordance with the principles cited above; 



* 



And further, 



To request the President to provide a project list for initial approval and regular 
updates to the Board on the status of all capital projects. 



The next item was Revenue-based Trust Fund Budg ets. Trustee Haynes asked if this budget 
included Auxiliary Services at UMASS Amherst and, if by approving this budget, the Trustees 
were approving layoffs in Auxiliary Services. Vice Chancellor Page explained that everything 
was open until end of the fiscal year. It was then moved, seconded and 

VOTED : To approve the budgets and fee structures for the FY94 Revenue-Based Trust Fund 
Budgets at Amherst, Boston, Dartmouth, Lowell and Worcester, including the 
Medical Center Group Practice Plan and the Medical Center Hospital Budget, as 
described in Doc. T93-047. 

Trustee Spence reported that there had been discussion regarding the Student Activities Fee 
at UMASS Boston and the Committee had been able to come up with a compromise. It was 
moved, seconded and 

VOTED : To establish the following per semester Student Activities Fee for FY94 at UMASS 
Boston: 



Full Time: 






From: 


To: 


Per Semester Dollar 


FY1993 


FY1994 


Change % Change 


$30 


$42 


$12 40% 


Part Time: 






From: 


To: 


Per Semester Dollar 


FY1993 


FY1994 


Change % Change 



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$15 



Summer : 



$25.00 



$10.00 



67% 



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From: 
FY1993 



To: 
FY1994 



Per Semester Dollar 
Change % Change 



$7.00 



$10.00 



$3.00 



43% 



The next item was a Transfer of Funds at UMASS Amherst . It was moved, seconded and 

VOTED : To approve the transfer of $3 million of FY93 operating revenues to the UMASS 
Amherst plant funds to help meet deferred maintenance needs at UMASS 
Amherst. (Doc. T93-051) 

The next item, Authorization for Expenditure of Funds for FY94 enables the President to 
expend funds until the Operating Budget is approved. It was moved, seconded and 



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VOTED : To authorize the President to expend at the FY93 rate, state and non-state funds for 
the University from July 1, 1993 until such time as the Board adopts the Operating 
Budget for FY94. 

Trustee Lewenberg then reported for the Committee on Athletics. He said the discussion had 
focused on building a new athletic facility at UMASS Lowell and that there is a feasibility study 
underway. The Committee also discussed Academic issues and the support services available 
for student athletes on the campuses. 

Chair Oakes then gave the report of the Executive Committee. The first item on the agenda 
was approval of the Statement of System Priorities and the Campus G uidelines for Strateg ic 
Planning . Chair Oakes said there will be Trustee input in the Strategic Planning process by way 
of including Trustees on Task Force Groups. It was moved, seconded and 

VOTED : To approve the Statement of System Priorities and the Campus Guidelines for 
Strategic Planning as contained in Doc. T93-039A. 

Chair Oakes then reported that Trustee Taylor, as Chair of the Honorary Degree 
Subcommittee , had rewritten a system-wide policy to which had been amended at the Executive 
Committee. It was moved, seconded and 

VOTED : To approve the University Policy on Awarding Honorary Degrees as contained in 
Doc. T93-060, as amended. Further, to rescind Doc. T91-130 as amended, and all 
other policies (or any part thereof) currently in effect in the University which are 
inconsistent herewith. 

The Policy on Naming Building s was the next item discussed. He reported that after 
discussion among Committee members concerning the larger question of future development 
activities it was agreed that a subcommittee be established to look at the issue of University 
naming as a whole and specific criteria tied in with fundraising opportunities. 

It was moved, seconded and 

VOTED : To establish a subcommittee of the Board to make recommendations on a 
University Naming Policy; provided that the Committee's recommendation shall 
be considered in the context of the University's future development activities. 

The next item was A pproval of the Hospital Management Board Minutes . Trustee Foley 
talked about the on-going concern of the Hospital Management Board concerning the constraints 
that continue to impede the Hospital from achieving its optimal potential. He spoke about the 
needed flexibility which the Hospital Management Board desires and also expressed confidence 
in the management team in handling significant issues. It was moved, seconded and 

VOTED : To approve the minutes of the March 24 and April 28, 1993 Hospital Management 
Board including the unaudited Financial Statements of February and March, 1993 
and the Medical Staff Appointments and Reappointments for February, March and 
April, 1993. 

And further, to grant conditional approval by the Hospital Management Board for 
Appointments and Reappointments to the Medical Staff recommended by the 
Hospital Executive Committee for July, August, and September, 1993 pending final 
approval by the Hospital Management Board at its September meeting. (Doc. T93- 
056) 






* 



Chair Oakes distributed a copy of a letter to students Al Lizana and David Nuniez. The letter 
was in response to the desire of the Student Government Association to have litigation powers 
again granted to the Legal Services Office at UMASS Amherst, It outlines the principles which 
the Board has been guided by in considering this matter. 



Chair Oakes then thanked Trustees Loh, Neal, Newnan and Vittimberga for their 
contributions throughout the year as members of the Board and made presentations to each on 
behalf of the Board. He also commended Chancellors O'Brien and Deck for their stewardship on 
the campuses through some very difficult times. 

The Board then went into Executive Session to consider the draft Audits and Collective 
Bargaining issues. The time was 11:40 a.m. Chair Oakes voted for the motion as did Trustees 
Bogan, Bok, DiCara, Finnerty, Flores, Foley, Haynes, Newnan, O'Leary, Poduska, Solomont, 
Spence, Taylor and Vittimberga. At 1155 a.m., the Board came out of Executive Session and it 
was moved, seconded and 

VOTED : To approve the following Audits: 

•The University- Wide Follow-Up Audit of Management Letter Comments 
(Doc. T93-037, Addendum 1) 

•The Continuing Education Program, UMASS Boston, Financial Statements and 
Management Letter (Doc. T93-044) 



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It was moved, seconded and 

VOTED : To approve a salary increase (equal to the increase approved by the General Court 
for employees covered by collective bargaining agreements) in the actual annual 
base salary paid to the University non-unit classified employees, except at the 
Worcester campus, said increase to be awarded with guidelines established by the 
President and to be effective on a date determined by the President, but no sooner 
than June 28, 1993. 



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To approve a salary increase and a merit salary increase (equal in the aggregate to 
the increase approved by the General Court for employees covered by collective 
bargaining agreements) in the actual base salary paid to University non-unit 
professional employees, except at the Worcester campus, said increases to be 
awarded in accordance with guidelines established by the President and to be 
effective on a date determined by the President, but no sooner than June 28, 1993. 



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The meeting adjourned at 11:56 a.m. 



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Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 
AMHERST-BOSTON -DARTMOUTH •LOWELL* WORCESTER 



MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, August 11, 1993; 9:15 a.m. 

Board Room 

People's Bank Building 

University of Massachusetts 

Worcester, Massachusetts 

Trustees and Trustee Staff : Chair Oakes; Trustees Bogan, Cunningham, DiCara, Dickson, 
Finnerty, Flores, Foley, Haynes, Karam, Lewenberg, Lizana, McNeil, O'Leary, Siegmann, 
Solomont and Taylor; Mrs. Fontaine, Secretary to the Board of Trustees 

Trustee Member s Absent : Trustee Bok, Poduska, Reed, Robertson, Spence and Tobin 

University Administration : President Hooker; Vice Presidents Boyd, Chmura, Lenhardt, 
Sessoms and Story; General Counsel Kirby; Chancellors Scott, Penney, Cressy, Hogan and Lazare 



I 



Chair Oakes called the meeting to order at 9:15 a.m. and introduced the new student trustees: 
David Cunningham from Lowell, Stephanie Siegmann from Boston, Al Lizana from Amherst and 
Eric Dickson from Worcester. He also officially welcomed Chancellors Cressy and Scott to their 
first Board meeting. 

The first item on the agenda was Consideration of the Minutes of the previous meetings of 
the Board. Without discussion, it was moved, seconded and 

VOTED : To approve the minutes of the May 6, 1993 and June 2, 1993 
meetings of the Board. 

Turning then to the President's Report, President Hooker commented about the budget. The 
first item under the Committee on Administration and Finance was the allocations of the 
appropriation to the campuses. He indicated that compared to last year, there was a 3.6% 
increase and nationally, the University is one of the few states that has received a budget increase. 
He added to this that there is some reason to be heartened in spite of the fact that the size of the 
increase was not what was needed in order to enable the University to meet its commitment to 
the salary increases, both mandated and those to non-unit personnel. 

President Hooker pointed out that it is important to recognize that while we should be 
heartened by getting an increase this year, the picture for next year is going to be much more 
difficult than the picture for this year. There are two factors which make this the case, one is the 
unlikelihood that the state will enjoy any increase in revenues that result from the change in tax 
structure and that the passage of the K-12 Legislation will have a vastly greater impact on the 
states' resources next year than it did this year. 

With respect to the allocations this year, the President and Chancellors thought it important 
to address the issues of the University's strategic priorities in spite of the fact that not all the 
money the University needed in order to sustain continuing initiatives and provide for the salary 
increases was available. It was decided that 5% should be held back from the state appropriation 
to reallocate to strategic priorities. Three percent will be allocated by the Chancellors in 
accordance with guidelines to be collectively drawn up and two percent will be allocated to the 
campuses by the President's Office on a competitive basis with proposals for the allocation of 



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those funds coming from the campuses. It is expected that a report on how those funds were 
spent will be available in October. It is important in spite of the fact that this further constrains 
the ability of the campus to sustain existing initiatives, and important for the University, 
especially in hard times, to continue forward momentum in the areas of its highest strategic 
priorities. 

He also reported that the format with respect to Chancellor's reports has been changed with 
written reports. He added that the Chancellors would be happy to respond to any questions the 
Trustees have about any aspect of activities on the campus. 

Chancellor Lazare expressed his appreciation to the Trustees for their time spent on the 
campus during the previous day. Chair Oakes thanked Chancellor Lazare and the Worcester 
campus staff for the overview of the health care industry. In response to the campus' request to 
the trustees for assistance, Chair Oakes announced the formation of a special committee of the 
Board to work with the President' s Office and Medical Center to help formulate the strategic 
response to the national health care challenge. It was then moved, seconded and 






VOTED: To authorize the Chair of the Board to form a Task Force to work 
with Chancellor Lazare in the review of the future of the Medical 
Center and report its findings to the Board. 

Trustee Taylor, in the absence of Trustee Poduska, gave the report of the Committee on 
Academic and Student Affairs. He reported that the Committee recommends the following 
actions. The first action was Appointments with Tenure at Boston and Amherst . It was then 
moved, seconded and 



VOTED: To concur with the President in the appointments of Arlene Avakian 
as Associate Professor, Women's Studies Program, Kyle Johnson 
as Associate Professor, Department of Linguistics and James Rinderle 
as Associate Professor, Department of Mechanical Engineering, with 
tenure at UMASS Amherst; 






And, 

To concur with the President in the appointments of Bernard Harleston as 
Professor, Graduate College of Education and Eric Hayden as Dean of the 
College of Management, Department of Accounting and Finance, with tenure 
at UMASS Boston. (Doc. T93-063) 

The next item was concurring with the President in the Award of Tenure to twenty-seven 
candidates from Amherst, Boston and Lowell. He pointed out that the Committee discussed the 
awards and it was noted that ten of the twenty-seven candidates are women. It was moved, 
seconded and 

VOTED: To concur with the President in the award of tenure to the following 
individuals: 



Amherst 

Robert Bernatzky-Plant and Soil Sciences 

Frank Cannon— Biochemistry and Molecular Biology 

Tom Juravich— Labor Relations and Research Center 

Laetitia LaFollette-Art History 

Gail Schumann—Plant Pathology 



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Dartmouth 

Beryl Barkman— Accounting and Finance 

Scott Dickman— Psychology 

Karon Doherty— Design 

Gerald Hammond— Chemistry 

Catherine Houser— English 

Hong Liu—Computer and Information Science 

Christina Makara-Biron—Foreign Literature and Languages 

Timothy O'Sullivan— Chemistry 

Alan Thompson— Design 



* 



Lowell 

Meg Bond— Psychology 

Ronald Brent— Mathematics 

David Ryan— Chemistry 

Samuel Paikowsky— Civil Engineering 

John Ting— Civil Engineering 

Thomas Vasilos-Chemical and Nuclear Engineering 

Kenneth Geiser— Work Environment 

Jon LeBaron— College of Education 

Joyce Mehring— Operations Management/Management Information Systems 

Leo Pipino—Operations Management/Management Information Systems 

Vincent Pivnicny— Health 

Susan Reece— Nursing 

Suzanne Nault-Library (Doc. T93-064) 

The next two recommendations arise out of the Collective Bargaining Contracts at 
Dartmouth and Lowell and require action by the Board of Trustees both on contract renewals and 
terminations. It was moved, seconded and 

VOTED: To recommend that the Board concur in the recommendation for reappointment 
of faculty members at UMASS Dartmouth as contained in Doc. T93-065. 



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And, 



To authorize the Chair of the Board to send notice of termination effective May 
31, 1994 to faculty members at UMASS Lowell as contained in Doc. T93-070. 



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The next item was one that the Committee heard a great deal about from Provost Gordon and 
was an initiative that the Provost launched a year ago to restructure certain academic programs 
and departments on the Amherst campus. It requires formal Trustee action in two respects. 
First, to approve certain renaming and eliminating and transfers and reorganization; and second, 
to concur in the transfer of tenure of individuals listed in those departments. What the 
Committee heard was a process of extensive faculty consultation and deliberation on a very 
thoughtful program, the program being approved and modified along the way, where energies 
were engaged in a very creative and constructive way, which better organizes the campus in a 
way to begin the strategic process that will now go forward on all of the campuses. Chancellor 
Scott added his enthusiastic support which sets the stage for continuing dialogue on strategic 
changes. It was moved, seconded and 

VOTED : To approve the Provost's Plan for Restructuring at UMASS Amherst as contained 
in Doc. T92-090A including : 



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1. Renaming the Faculty of Humanities and Fine Arts the College of 
Humanities and Fine Arts; the Faculty of Natural Sciences and Mathematics the 
College of Natural Sciences and Mathematics; the Faculty of Social and 
Behavioral Sciences the College of Social and Behavioral Sciences; the School of 
Public Health the School of Public Health and Health Sciences. 






2. Eliminating the School of Physical Education. 

3. Transferring the Department of Exercise Science to the School of Public 
Health and Health Sciences; the Department of Sports Studies to the College of 
Food and Natural Resources; the Department of Nutrition to the School of Public 
Health and Health Sciences; the personnel of the Department of Professional 
Preparation to the School of Education, as part of the Department of Teacher 
Education and Curriculum Studies. 

4. Reorganizing the School of Education into a Department of Teacher 
Education and Curriculum Studies, a Department of Education Policy, Research, 
and Administration, and a Department of Student Development and Pupil 
Personnel Services. 



And, 




VOTED: To concur with the President in the transfer of tenure of individuals listed 


departments indicated: 




Student Development and PudU Personnel Services 


Maria R. Brassard 


John C. Carey 


Patricia Griffin 


Bailey Jackson 


Barbara Love 


Allen E. Ivey 


William Matthews 


Janine McGill Roberts 


Stanley E. Scarpati, Department Chair 


Doris Shallcross 


Patricia Silver 


Gerald Weinstein 


John Wideman 


Norma Jean Anderson 


Donald K. Carew 




Educational Policv, Research and Administration 


Patricia G. Anthony 


Patricia H. Crosson 


Jeffrey W. Eiseman 


Arthur W. Eve 


David R. Evans 


Ronald K. Hambleton 


David C. Kinsey 


Robert Miltz 


Gretchen B. Rossman 


David Schimmel 


David Schuman 


Hariharan Swaminathan 


George Urch 


Kenneth Washington 


Teacher Education and Curriculum Studies 




G. Ernest Anderson 


David M. Bloome 


Liane Brandon 


R. Mason Bunker 


Richard J. Clark, Department Chair 


Grace Craig 


Carolyn Edwards 


Portia C. Elliott 


Atron Gentry 


Byrd Jones 


Alfred Karlson 


George Forman 


Richard Konicek 


William Masalski 


Sonia Nieto 


J. Kevin Nugent 


Kenneth Parker 


Howard Peele 






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Masha K. Rudman 
Klaus Schultz 
Judith Solsken 
William Thuemmel 
Robert R. Wellman 



I. Earl Seidman 
Robert L. Sinclair 
Patrick Sullivan 
Ernest D. Washington 
Jerri Willet 
(Doc. T93-066) 



The next item was approval of the Establishment of the Institute for Asian American 
Studies at UMass Boston . Trustee Taylor indicated that this recommendation comes with strong 
support from the Chancellor and the campus and seems to be a worthy and valued undertaking. 
He said that Asian Americans represent the fastest growing ethnic group, and it seems 
appropriate to establish this now. In the course of the Committee discussion, Trustee DiCara 
raised questions about what were institutes, what were centers, what does the Board have to 
approve, how do they work, and whether there are provisions for sunsetting them or reviewing 
their missions after a period of time. The Committee asked to return to this issue to ensure that 
there are controls in place to address these concerns. It was moved, seconded and 

VOTED : To approve the establishment of the Institute for Asian American Studies at 
UMASS Boston as contained in Doc. T93-067. 



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The final recommendation was to approve a Stage 1 Proposal for an M.S. and PH.D in 
Or ganismic and Evolutionary Biology at UMASS Amherst . Vice President Story briefed the 
Board about this program and explained that the campus was positioning itself well to pick up on 
a new growth phase in this area. Without further discussion, it moved, seconded and 

VOTED : To approve the Stage I proposal for the M.S. and PhD. in Organismic and 
Evolutionary Biology at UMASS Amherst. (Doc. T93-029) 

Trustee Taylor also indicated that the Committee heard a briefing on the University 
Symposium on Strategies for Combating Racism & Promoting Civility to be held on September 28 
and 29 at the Murray D. Lincoln Campus Center at Amherst. The Committee was impressed by 
the extensive list of workshops and with the work that has gone into this program. He 
announced that Bill Cosby will be the featured speaker at the Conference and urged the Trustees 
to attend. President Hooker added that the conference was symbolic of the University's and 
President's Office commitment to dealing candidly with issues of diversity and Multiculturalism 
and is substantive in that the topics are comprehensive and exhaustive. He expressed his 
pleasure in the cooperation the President's Office received from the five-campus committee. 

Trustee Haynes then reported for the Committee on Administration and Finance which met 
on July 27. Trustee Haynes reported on discussions at the Committee meeting and that 
representatives from the Amherst campus were at the meeting and expressed their concerns 
about issues on the campus. 

The first recommendation was the FY94 State Appropriation Allocations . The Board then 
heard from the following representatives from the Amherst campus who had asked to appear 
before the Board: David Mitchell, AFSCME; Frank C. Olbris, University Staff Association; Julia 
Mahoney, Graduate Student Senate; Matthew Pavesi, Student Government Association, and 
David LeFond, SEIU. 



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There was then a discussion about mission enhancement and the loss of Tuition Retention. 
Trustee Siegmann, speaking to the budget situation at Boston during the last few years, asked the 
Board to consider giving the Boston campus additional funds to allow it to grow. Trustees 
Haynes and O'Leary asked that for the October meeting each campus submit an impact statement 



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both in terms of student population, personnel, and programs that have been affected. It was 
moved, seconded and 

VOTED : To approve the following FY94 state appropriation allocations: 

Amherst $154,425,321. 

Boston $55,941,743. 

Dartmouth $30,909,000 

Lowell $49,507,191. 

Worcester $24,021,795. 

Institute for Governmental Services $498,212. 

TOTAL $315,303,262. 

Further, to authorize the President to make adjustments to the campus 
allocations for support of the President's Office and Central Administrative 
Services to be reflected in the final allocation schedule submitted to the state. 
(Doc. T93-071) 

The next item for consideration was the University Reductions in Force Policies for Non- 
Unit Employees . It was moved, seconded and 

VOTED : That the Board of Trustees hereby resolves that, if the President of University 
determines that retrenchment for financial reasons may be necessary in Fiscal 
Year 1994, the President is hereby directed to fulfill any and all obligations 
relative thereto arising under collective bargaining agreements or undertake such 
actions and make determinations as he shall deem necessary for the operation of 
the University. 



And, 



Furthermore, in light of the anticipated or actual unavailability of funds 
necessary to maintain the current level of staff and services in Fiscal Year 1994, to 
authorize the President of the University to undertake such actions, grant such 
delegations of authority, and make such determinations as he shall deem 
necessary for the operation of the University. 

And further, 

To recommend that the Board adopt the University of Massachusetts Non-Unit 
Employee Reduction in Force Policy for Amherst, Boston, Dartmouth and Lowell 
as contained in Doc. T93-079. Further, to rescind Doc. T89-039 and Doc. T89-076, 
and all other policies (or any part thereof) currently in effect in the University 
which are inconsistent herewith. 

The next item was the Relocation of the Continuing Education Building at UMASS 
Amherst . Noting that this recommendation was not property specific, there was a request for 
further discussion about the need to move this office off-campus and the cost associated. The 
motion was amended to delete reference to off-campus and to insert that DCPO "recommend to 
the Board acquisition". It was moved, seconded and 

VOTED : To authorize the Chancellor at UMASS Amherst or his designee to request the 
Division of Capital Planning and Operations recommend to the Board the 



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acquisition of a new permanent location for the Division of Continuing 
Education. (Doc. T93-074) 



The next item was to establish the Fringe Benefit Assessment Fund at UMASS Worcester . It 
was moved, seconded and 

VOTED : To establish the Fringe Benefit Assessment Fund at UMASS Worcester which 

shall receive funds assessed and collected by the Chancellor from Medical Center 
self-supporting trust funds and any funds due from the Commonwealth to the 
Medical Center under the terms of the 1992 Memorandum of Understanding 
between the Medical Center and the Secretary of Administration and Finance 
(The Memorandum). Expenditures from the fund shall pay the cost of employee 
fringe benefits due to the Commonwealth pursuant to the Memorandum and 
shall cover the costs of actuarial studies and reports necessary to implement the 
Memorandum. 

Further, to approve the budget for said trust fund as set forth in Doc. T93-075. 

The next item was Audits . It was moved, seconded and 

VOTED : To approve the Amherst Campus Response to Athletics Program Audit Report 
by KPMG Peat Marwick (Doc. T93-061) 



Chair Oakes then gave the report of the Executive Committee, which recommended that the 
Board adopt the Executive Compensation Package for the University President and Campus 
Chancellors . It was moved, seconded and 

VOTED : To adopt the Executive Compensation package for University President and Campus 
Chancellors as contained in Doc. T93-062. 

The next item was the Review and Evaluation of University Personnel. It was moved, 
seconded and 



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VOTED : That all senior administrators of the University shall receive regular performance 
review and evaluation; and, further, that the President is directed to establish 
guidelines for the regular review and evaluation of senior administrators of the 
University; provided that said guidelines include a clear recognition of the 
importance of academic quality and quality of teaching, research and service. (Doc. 
T93-080) 



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The next item was the Coordination with State and Federal Governments . It was moved, 
seconded and 

VOTED : WHEREAS, it is essential that University interactions with executive and legislative 
branches of the state and federal governments be carefully planned and coordinated; 

WHEREAS, it is the role of the President's Office to coordinate University planning 
and policy development, including budget and legislative strategy, and to represent 
the University to these outside constituencies; 



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NOW, THEREFORE, BE IT RESOLVED that employees of the University, acting in 
an official capacity, shall engage in such planning and policy development 
discussions with these outside constituencies only in coordination with appropriate 
personnel in the President's Office. 



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The Hospital Management Board Minutes were then presented. Chair Oakes indicated that 
Mr. McClelland, Chair of the Hospital Management Finance Committee had joined the Executive 
Committee. It was moved, seconded and 

VOTED : To approve the minutes of the May 21 and June 23 Hospital Management Board 

Meetings including the Unaudited Financial Statement for April and May, 1993; the 
proposed appointments and reappointments for May, 1993 and the amendments to 
the Medical Staff By-Laws as contained in Doc. T93-081. 

The next item was a Department of Defense Resolution . It was moved, seconded and 

VOTED : WHEREAS, current Department of Defense Regulations contain a provision making 
it mandatory that the Chairman of the Board, the President, and the Secretary, meet 
the personnel clearance requirements established for a contractor's facility clearance; 
and 

WHEREAS, said Department of Defense Regulations permit the exclusion from the 
personnel clearance requirements of certain members of the Board of Trustees and 
other officers, provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the 
President, and the Secretary, at the present time do possess, or will be processed for, 
the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any duties as 
Chairman of the Board, the President, or Secretary, such individual shall immediately 
make application for the required security clearance; and 

BE IT RESOLVED FURTHER that the following members of the Board of Trustees 
and other officers, shall not have, and can be effectively excluded from access to all 
classified information in the possession of the corporation and do not occupy 
positions that would enable them to affect adversely policies or practices in the 
performance of classified contracts for the Department of Defense or the User 
Agencies of its Industrial Security Program: 

NAME TITLE 

Daniel E. Bogan Trustee 

Derek Bok Trustee 

David Cunningham Trustee 

Lawrence S. DiCara Trustee 

Eric Dickson Trustee 

Joseph S. Finnerty Trustee 

Heriberto Flores Trustee 

Michael T. Foley, M.D. Trustee 

Robert J. Haynes Trustee 

Robert S. Karam Trustee 

Peter K. Lewenberg Trustee 

Al Lizana Trustee 

Ogretta McNeil Trustee 

James F. O'Leary Trustee 

John William Poduska, Sr. Trustee 

Mary L. Reed Trustee 

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Piedad F. Robertson 
Stephanie Siegmann 
Alan D. Solomont 
Rina K. Spence 
Daniel A. Taylor 
Kevin J. Tobin 





Trustee 




Trustee 




Trustee 




Trustee 




Trustee 




Trustee 


(Doc 


. T93-082) 


Parking 


Fee at UMASS Boston 



discussion, it was moved, seconded and 

VOTED : To approve an increase in the parking fee at UMASS Boston from $3.00 
to $3.50 per day and to extend the $3.50 per day charge to Saturday 
Parking. (Doc. T93-084) 

The final item the Executive Committee considered was Honorary Degrees . It was moved, 
seconded and 

VOTED : To award an honorary degree to that individual agreed upon in Executive 
Session and to instruct the Chancellor to proceed with the necessary 
arrangements. Further, to authorize the President, as discussed in Executive 
Session, to approve, upon nomination of the Chancellor, the award of an 
honorary degree at UMASS Dartmouth. 



Under Other Business, Chair Oakes announced the membership of the Nominating 
Committee as Trustees DiCara, Chair; Trustees Finnerty, Reed and Solomont. The Committee is 
charged with nominating candidates for election as officers of the Board of Trustees and as chairs 
of the standing committees. He also indicated that this would be his final year as Chairman. 

Trustee Lizana announced that the Trustees would be receiving an invitation from the 
UMASS Amherst Student Government Association to attend a dinner to be held on November 
16th. 



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There being no further business to come before the Board, the meeting adjourned at 10:50 



a.m. 



Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 
AMHERST 'BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, October 6, 1993; 9:15 a.m. 

Board Room 

Cumnock Hall 

University of Massachusetts 

Lowell, Massachusetts 

Trustees and Trustee Staff : Chair Oakes; Trustees Bogan, Bok, Cunningham, DiCara, Dickson, Finnerty, 
Flores, Foley, Hoff, Karam, Lewenberg, Lizana, McNeil, Siegmann, Spence, Taylor, and Tobin; Mrs. 
Fontaine, Secretary to the Board of Trustees 

Trustee Member s Absent : Trustees Haynes, O'Leary, Poduska, Reed and Robertson 

University Administration : President Hooker; Vice Presidents Boyd, Chmura, Lenhardt and Story; 
General Counsel Kirby; Chancellors Scott, Penney, Cressy, Hogan and Lazare 

Chair Oakes called the meeting to order at 9:25 a.m. and introduced the newest member of the Board, 
Mr. Charles Hoff, an alumnus of the University of Massachusetts Lowell 

The first item on the agenda was Consideration of the Minutes of the previous meeting of the Board. 
Without discussion, it was moved, seconded and 



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VOTED : To approve the minutes of the August 11, 1993 meeting of the Board. 

President Hooker then gave his report and informed the Board about the University receiving a 
positive bond rating due to the efforts of Vice President Lenhardt and his staff, Trustee Karam and Chair 
Oakes. There has also been the completion of allocations of mission enhancement funds. 

He then reported on the success of last week's two-day conference on Diversity and Multiculturalism. 
He expressed his pleasure with the quality of the workshops and the atmosphere and networking that 
went on for two days. He acknowledged Elizabeth Tu thill, from the President's Office for her efforts in 
making the conference a complete success. 



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As part of the report of the Committee of the Whole, Chancellor Hogan introduced Professor Michael 
Best, who reported on "New Competitive Forces and Regional Industrial Development" including 
UMASS Lowell's role enabling the region to comprehend and address the new competitive forces and the 
campuses' strategies enabling the region to compete and prosper in the global economy. 



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Trustee McNeil, in the absence of Trustee Poduska, gave the report of the Committee on Academic 
and Student Affairs. She summarized the discussion that had taken place at the meeting of September 
22nd including the fact that all Trustee policies are under review and it is anticipated that in the near 
future, student codes of conduct and alcohol policies will come before the Committee and that by 
September, 1994 all new policies will be in place. 

The Committee had recommended Appointments with Tenure, UMASS Amherst and UMASS 
Dartmouth . It was then moved, seconded and 



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VOTED: To concur with the President in the appointments of Leon Osterweil as Professor, 
Department of Computer Science and Andrew Harris as Associate Professor, 
Department of Physics and Astronomy, with tenure at UMASS Amherst; 

And, 

To concur with the President in the appointment of Suzanne Buckley as Professor, 
History Department, with tenure at UMASS Dartmouth. (Doc. T93-092) 

The next item was Award of Tenure, UMASS Dartmouth . It was moved, seconded and 

VOTED: To concur with the President in the award of tenure to Chancellor Peter H. 

Cressy,-as full Professor, Department of Management, UMASS Dartmouth. (Doc. 
T93-046, Addendum 1) 

The next item was Award of Tenure, UMASS Amherst . It was moved, seconded and 

VOTED: To concur with the President in the award of tenure to Dr. Robert Weis, as Associate 

Professor, Chemistry Department, UMASS Amherst. (Doc. T93-094) 

Trustee Karam asked when the Board will be discussing a policy on tenure. Trustee McNeil 
explained that the subject will be one of the policies discussed by the Committee on Academic and 
Student Affairs in the near future. President Hooker added that this is a complicated issue and the ratio 
of tenure vs. non-tenure faculty is something that must be studied to sustain the vitality of faculty after 
they are tenured. He also noted that many universities around the country are talking about instituting a 
periodic review of tenured faculty to make sure the award of tenure does not diminish the productivity of 
the University and/or department. 

The next item was the Approval of Three Ph.D. Programs, UMASS Amherst, UMASS Boston and 
UMASS Dartmouth . Trustee McNeil stated that all of the programs focused on one of the key strategic 
priorities of the UMASS system which is economic development. It was moved, seconded and 

VOTED: To approve the Ph.D. in Computer Sciences (Stage II) academic degree 

program at UMASS Boston as contained in Doc. T91-112, Addendum 1. 

And, 

VOTED : To approve the Ph.D. in Electrical Engineering (Stage II) academic degree program at 

UMASS Dartmouth as contained in Doc. T91-112, Addendum II. 

And further, 

VOTED : To approve the Ph.D. in Hotel, Restaurant and Travel Administration (Stage II) 

academic degree program at UMASS Amherst as contained in Doc. T91-112, 
Addendum III. (Doc. T93-066) 

There had also been a long discussion regarding the Five-Campus Library System where it had been 
decided that it be discussed again at the next meeting of the Committee on Academic and Student Affairs. 

Trustee Spence then reported for the Committee on Administration and Finance. Vice President 
Lenhardt provided some background information for the FY1994 Operating Budg et. The total operating 
budget for this year is over a billion dollars with projected revenues of $1.2 billion, a 3.9% increase over 
FY1993. Five percent of the state appropriation will go toward the strategic goals of the University with 
three percent distributed directly to the campuses. 

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There was then discussion about trust fund surplus amounts and the need to bring this issue to the 
Committee for further discussion particularly in relation to the budget. Vice President Lenhardt 
informed the Board that the Annual Financial Report for 1993 will be presented in December which 
should answer some of the Board's questions. 

It was then moved, seconded and 

VOTED : To approve the FY1994 Operating Budget for the Amherst, Boston, Dartmouth, Lowell 

and Worcester campuses, the Maurice Donahue Institute for Governmental Services, 
the President's Office and Central Administrative Services as contained in Doc. T93- 
078. 

The next item was Approval of the FY1995 Budget Request . Vice President Lenhardt reported to the 
Board that a three-year phase-in of increased state support began last year which had been developed 
using the University funding formula which looked at total funding needs. The FY95 request will 
represent the second of the three years' funding request which will be based on last year's formula, 
updated to reflect the University's most recent cost, enrollment, and employee information. The formula 
process will be looked at closely in light of the response to last year's budget request. It was moved, 
seconded and 

VOTED : To authorize the President to prepare and submit to the Higher Education 

Coordinating Council a 1995 budget request for state appropriations for the University 
in an amount not to exceed $361,000,000, provided that the President shall provide the 
Board with a copy of the formal budget request at its December meeting. (Doc. T93- 
098) 



The next item dealt with the Capital Financing Priority List . There had been an amendment made 

at the Executive Committee meeting recommending that the Medical Center portion be reviewed and 

amended by the Trustee Medical Center Task Force as appropriate. Vice President Lenhardt then 

explained that the University is borrowing $100,000,000, refinancing $145,000,000 of existing debt and the 

state has agreed to put $100,000,000 of their general obligation debt into the University. 

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It was also pointed that the Executive Committee stressed the need to make sure the funds first go to 
renovation and health and safety projects. The President will also continue to update the Board of any 
changes to the list. 



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It was moved, seconded and 

VOTED : WHEREAS, in connection with the issuance of the Massachusetts Health and 

Educational Facilities Authority Revenue Bonds, University of Massachusetts Issue, 
Series A (the "Bonds"), the University of Massachusetts intends to reimburse from 
proceeds of the Bonds certain expenditures made prior to the issuance of the Bonds; 



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NOW, THEREFORE, BE IT RESOLVED that the University of Massachusetts (the 
"University") declare and it hereby declares its official intent under Treasury 
Regulations SI. 150-2 as follows: 

The University reasonably expects to reimburse, from the proceeds of debt to be 
incurred by the University, expenditures (including expenditures made within the last 
60 days) temporarily advanced for certain projects; such projects shall be described on 
an exhibit to a vote to be taken by the Board of Trustees of the University on October 6, 
1993; the maximum principal amount of Bonds expected to be issued, a portion of the 
proceeds of which shall be used for such reimbursement purposes, is $125,000,000. 



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And further, 

That the Vice President and General Counsel of the University is hereby authorized 
and directed to file a certified copy of the foregoing resolution with the Massachusetts 
Health and Educational Facilities Authority to be made reasonably available for public 
inspection beginning on a date no later than 30 days from the date hereof and ending 
upon the date of issuance of the aforesaid debt. 



And, 



VOTED : In furtherance of the Board vote on the Capital Plan adopted on June 2, 1993, to 
approve the Capital Program Projects List attached hereto as Exhibit A and to delegate 
to the President the authority to amend said List as he may deem to be in the best 
interest of the University based on the parameters set forth in the Board's June 2, 1993 
action, provided, that the Medical Center portion of Exhibit A shall be reviewed and 
amended by the Trustee Medical Center Task Force. Provided, further, that the 
President shall regularly advise the Board of changes to said List. (Doc. T92-118B, 
Addendum 4) 

The next three items involved issues related to Audits, Amendments to the University Audit 
Protocols. Approval of Audit Reports and Approval of the Annual Audit Plan . It was moved, seconded 
and 

VOTED : To approve the amendments to the University Audit Protocols as contained in Doc. 
T92-062, as amended. 
And, 

VOTED : To accept the following Reports: 

•Employee Business Expense Reimbursement Review, UMASS Lowell 

(Doc. T93-085) 

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•Survey of Miscellaneous Cash Receipts, University- wide (Doc. T93-86) 

And further, 

VOTED : To approve the Annual Audit Plan for FY94, FY95 and FY96 as contained in Doc. T93- 
087. 

Trustee Lewenberg then gave the Report of the Committee on Athletics . The Athletic Directors 
had presented annual reports on activities on each of the campuses, and there was discussion of the 
proposed athletic facility at the Lowell campus. There was also a lengthy discussion concerning Astroturf 
and Stadium Lighting at the Alumni Stadium in Amherst. 

Chair Oakes then gave the report of the Executive Committee. The first item was Chancellor's 
Equity Adjustments . A study had been undertaken based on a review of compensation packages for 
chief executive officers of campus' peer institutions. It was recommended by the Executive Committee 
that the salary ranges for the Chancellors at Boston and Lowell be raised up to the minimum level of 
salary ranges outlined in the study after negotiation with the President. It was moved, seconded and 

VOTED : To authorize the President to negotiate salary increases with Chancellors Penney and 

Hogan up to the minimum level of salary ranges of comparable positions as outlined 
in Doc. T93-099. 



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The next item was Medical Center Transactions . It was moved, seconded and 

VOTED : WHEREAS, Amendments adding a new Section 36C to Chapter 75 of the General Laws 

grants the University of Massachusetts Board of Trustees authority to engage in 
transactions on behalf of the Teaching Hospital and Medical School outside the 
statutory and regulatory frame work generally applicable to state agency transactions; 
and 

WHEREAS, the exercise of that authority requires the approval of the Secretary of 
Administration and Finance; and 

WHEREAS, the Trustees are required to file a statement with the Secretary of 
Administration and Finance, the Secretary of Education and Secretary of Health and 
Human Services containing information regarding any proposed transaction; and 

WHEREAS, by operation of the new statute, if the Secretary of Administration and 
Finance fails i.o send the Trustees a written notice disapproving a proposed transaction 
with the reasons therefore within 30 days of receiving the Trustees' statement, the 
proposed transaction is by operation of law deemed to have been approved; and 

WHEREAS, many of the transactions that are contemplated in the exercise of this new 
authority will be time sensitive; and 



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WHEREAS, the University of Massachusetts Board of Trustees desires to expedite the 
consideration of such transactions while maintaining its fiduciary responsibility to 
review and approve any such transactions; 

Now, therefore, it is voted as follows: 

Upon recommendation of any Trustee member of the Hospital Management Board, the 
President is hereby authorized to submit on behalf of the Board of Trustees the 
statement required by Paragraph B of Section 36C of Chapter 75 of the General Laws to 
secure the approval of the Secretary of Administration and Finance for the transaction 
provided, however, that the transaction shall not become final until it is approved by 
the Board of Trustees. 

Trustee DiCara then gave the report of the Nominating Committee . He first thanked the members of 
the Committee, Trustees Finnerty and Reed and former Trustee Solomont for their input and wisdom. In 
addition to the new slate of officers, there were some minor changes to the By-Laws, having one Vice 
Chair and adding the Audit Committee as a standing Committee of the Board. 



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Trustee DiCara then thanked Gordon Oakes for his service to the University and the Commonwealth 
as Chairman of the Board since 1988, and noting his patience and commitment to the University. 
President Hooker made a presentation on behalf of the Board. Chairman Oakes thanked the Board and 
commended them for their hard work and dedication to the University. 

It was moved, seconded and 






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VOTED : To approve the following amendments to the By-Laws of the Board of 

Trustees of the University of Massachusetts (Doc. T91-100) : 

-Article I, Section 2 is hereby amended by striking out the words "two Vice 
Chairs," and inserting in place thereof the words "one or two Vice Chair(s).' 



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-Article I, Section 3 is hereby amended by striking out the words "two Vice 
Chairs," and inserting in place thereof the words "Vice Chair.(s)." 

-Article III, Section 1 is hereby amended by striking out the word "four" and 
inserting in place thereof the word "five," and by adding "the Audit 
Committee." 

-Article III, Section 5 (c), iv., is hereby amended by striking out the word 
"audits" 

-Article III, Section 5 is hereby amended by inserting after subsection (d) the 
following: 

"(e) The Audit Committee shall have the responsibility of reviewing and 
recommending to the full Board: 

i. policies involving the selection of auditors, deployment of auditors and 
initiation of audits; 

ii. audits of the University, its various components and affiliated organizations." 

It was moved, seconded and 

VOTED : To confirm and approve the Officers and Committee Chairs of the Board set 
forth in Doc. T93-100, all to serve until the next annual meeting of the Board. 

The new Chairman of the Board, Daniel Taylor expressed his wish to talk with all 
members of the Board over the next few weeks to help him build on the strengths the Board 
already has. He too commended Gordon Oakes for his work with the University over the years. 
He cited the many measures of his leadership, such as a fundamental commitment to maintaining 
the University's position as a non-partisan organization of the state government and presiding 
over the merger of Lowell and Dartmouth into the new five campus system. 

Trustee Lizana then reminded the Trustees of the Student Government Association 
Dinner on November 16th. 

There being no further business to come before the Board, the meeting adjourned at 10:50 a.m. 



/WU^^ 



Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST •BOSTON* DARTMOUTH -LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
BOARD OF TRUSTEES 

Wednesday, December 1, 1993; 9:15 a.m. 

Room 163 

Campus Center 

University of Massachusetts 

Amherst, Massachusetts 

Trustees an d Trustee Staff: Chair Taylor; Trustees Bogan, Bok, Cunningham, DiCara, Dickson, 
Finnerty, Flores, Foley, Haynes, Karam, Lewenberg, Lizana, McNeil, O'Leary, Poduska, Reed, 
Siegmann, Spence and Tobin; Mrs. Fontaine, Secretary to the Board of Trustees 

Trustee Members Absent : Trustees Hoff, Oakes and Robertson 

University Administration : President Hooker; General Counsel Kirby; Vice President Boyd, 
Chmura, Lenhardt, Story and Sessoms; Chancellors Scott, Penney, Cressy, Hogan and Lazare 

Chair Taylor convened the meeting at 9:20 a.m. The first item on the agenda was 
consideration of the Minutes of the previous meeting of the Board. Without discussion, it was 
moved, seconded and 



I 



VOTED : To approve the minutes of the October 6, 1993 meeting of the Board. 

Under the Chair's Report. Chair Taylor reported on the University's efforts to keep in touch 
with its constituents. On November 23rd, the University hosted a reception with members of the 
five campuses' Alumni Boards at the Parker House. He also noted several upcoming events. On 
December 6, there will be a reception for Alumni Legislators and on February 1st, there will be a 
reception at UM ASS Boston for former members of the Board of Trustees. 



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He then updated the Board on efforts of the Medical Center Task Force to position the Center 
for the future. He reported that the Task Force has met with Worcester City officials and 
community members. 

President Hooker then gave The President's Report . He first congratulated the UMASS 
Amherst Basketball team for its success and pursuit of excellence. He also mentioned the 
Executive Committee's approval of the Amherst Legal Services limited litigation authority and 
commended the students for working within the system to resolve this issue. 

He then reported on a recent press conference which looked at the increasing demands that 
are placed on the University and said the President's Office will be holding a series of symposia to 
set the stage for the changes that are needed. 

He then announced that the Amherst, Boston, Dartmouth and Lowell campuses along with 
the State and community colleges have been awarded a major defense grant, to build an Industrial 
Extension Infrastructure. He then acknowledged Lynn Griesemer, from the Donahue Institute for 
all her work in securing this funding. 

As part of the Report of the Committee of the Whole, the Board heard from Chancellor Scott 
about the Campus Master Physical Plan which looked strategically at major systems that govern 



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the physical form of the campus and will guide expansion and improvement over a long period of 
time. He introduced Beverly Wood, Associate Vice Chancellor and Director of Space Management 
who gave a videotape presentation showing how the Plan was developed with the help of 
computer simulations. She then introduced Mark Lindhult from the Department of Landscape 
Architecture and Regional Planning who made the presentation. 

Trustee McNeil then gave the Report of the Committee on Academic and Student Affairs. The 
first item was A pproval of Alcohol Policies. UMASS Amherst, Boston, Dartmouth and Lowell. 
She explained that this document was part of the University-wide effort to review and update 
policies. It was moved, seconded and 

VOTED : To approve the Alcohol Policies for the Amherst, Boston, Dartmouth and Lowell 
campuses all as contained in Doc. T93-116. Further, to rescind all other policies, 
rules and regulations (or any part thereof) currently in effect in the University which 
are inconsistent herewith. 

The next item was an Appointment with Tenure. UMASS Dartmouth. It was moved, 
seconded and 

VOTED : To concur with the President in the appointment of Elisabeth A. Pennington as 
Professor with tenure, Department of Institutional Nursing, UMASS Dartmouth. 
(Doc. T93-113) 

The next item was the Establishment of the Distinguished Visiting Massachusetts 
Professorship of Ocean Science and Engineering . UMASS Dartmouth and Appointm ent to such 
Professorship . It was moved, seconded and 

VOTED : To establish the Distinguished Visiting Massachusetts Professorship of Ocean 
Science and Engineering, UMASS Dartmouth. (Doc. T93-114) 

And further, 

VOTED : To concur with the President in his appointment of Dr. Allan Robinson to 
the Distinguished Visiting Massachusetts Professorship of Ocean Science 
and Engineering, UMASS Dartmouth as contained in Doc. T93-114, 
Addendum 1. 

The next item was the Establishment of the Nirenberg Chair. UMASS Amherst. Chancellor 
Scott reported that this Chair will be used to recruit a distinguished faculty member. It was 
moved, seconded and 

VOTED : To establish the Charles and Janet Nirenberg Chair of Business Leadership at the 
University of Massachusetts Amherst as described in Doc. T93-115. 

The next agenda item was the Establishment of the Department of Emergency Medicine. 
UMASS Worcester. Chancellor Lazare explained that two years ago, the Department of 
Emergency Medicine was separated from the Department of Medicine in the Hospital. This 
proposal would create a corresponding academic department in the Medical School and will not 
require additional resources. 

It was moved, seconded and 

VOTED : To establish the Department of Emergency Medicine at the University of 
Massachusetts Worcester as described in Doc. T93-124. 



i 



Trustee McNeil also reported that the Committee discussed follow-up to the Pluralism 
Conference and heard a report on the Fall, 1993 Enrollments. 

In response to a question, Vice President Story reported that the Joint Ph.D. Nursing Proposal 
had been deferred by the Higher Education Coordinating Council until more discussion takes 
place. 

Trustee Spence then gave the Report of the Committee on Administration and Finance. The 
first item was A pproval o f the Land and Facilities Use Planning Policy. It was moved, seconded 
and 

VOTED : To approve the Land and Facilities Use Planning Policy as contained in Doc. T93- 
122, as amended. Further, to rescind Doc. T89-072A, and all other policies (or any 
part thereof) currently in effect in the University which are inconsistent herewith. 

The next item was A pproval of the Family Leave Policy . This is required in accordance with 
the Family and Medical Leave Act of 1993. Vice President Lenhardt reported that the University 
will begin the collective bargaining process to implement a similar policy for unit employees. It 
was moved, seconded and 

VOTED : To approve the Family Leave Policy as contained in Doc. T93-123. 

The next item was the FY1993 Financial Report. Trustee Spence commended Ms. Wanczyk, 
University Controller for preparing a well-documented report and providing information on the 
University's overall financial situation. It was moved, seconded and 

VOTED : To accept the FY1993 Financial Report as contained in Doc. T93-110. 

The next item was Capital Financing . The Board was asked to approve three new capital 
projects at Amherst, Dartmouth and Lowell. Chancellors Scott, Cressy and Hogan then briefly 
described their respective projects. It was moved, seconded and 

VOTED : To approve the following projects: 

•The Center for Real-Time and Intelligent Complex Computing Systems (CRICCS), 

UMASS Amherst 
•The Center for Marine Science and Technology, UMASS Dartmouth 
•The Institute for Massachusetts Partnering and Commercialization of Technology 

(IMPACT), UMASS Lowell (Doc. T92-1 18, Addendum 5) 



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Trustee Spence reported for the Investment Subcommittee. The first item recommended was 
the FY1993 Treasurer's Investment Report . It was moved, seconded and 

VOTED : To accept the FY1993 Treasurer's Investment Report as contained in Doc. T93-111. 

The next item was Amendments to the Cash Management Policy . It was moved, seconded 
and 



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VOTED : To amend the University of Massachusetts Cash Management Policy by striking the 
following: 



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Restrictions : 

(1) The University will purchase only investments with a remaining maturity of five 
(5) years or less, except that obligations underlying a repurchase agreement have a 
final maturity of more than five (5) years. 



And adding: 



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Restrictions: 

(1) The University will invest the portfolio such that the weighted average maturity 
of the portfolio does not exceed five years, provided, however that the University 
will purchase only investments with a remaining maturity of ten (10) years or less. 

The next item was to amend the Cash Management Policy and the Self Insurance Trust 
document by removing the restriction that prohibits the purchase of a security if a company does 
business with the Republic of South Africa. Vice President Lenhardt noted that this policy change 
will not take place until the President determines the date is appropriate. 

After discussion, it was moved, seconded and 

VOTED : Subject to the President's final determination, to amend the University's Cash 
Management Policy by striking out Section W, paragraph 6, (Doc. T92-031, 
Appendix F, as amended) and renumbering the remaining paragraphs in Section rV. 
Further, to strike similar language, as appearing in Doc. T90-056A and in any other 
policy (or part thereof) currently in effect in the University which is inconsistent 
herewith. 

Trustee Flores voted against the motion, Trustee McNeil abstained. 

The next item was A pproval of the Self-Insurance Program. UMASS Worcester. General 
Counsel Kirby explained that the Medical Center maintains professional liability, hospital 
premises liability, and physicians' and surgeons' liability coverage for the Teaching Hospital and 
Group practice physicians through a Self-Insurance Trust Fund. To further protect the Medical 
Center, the Self-Insurance Trust Fund purchases excess liability coverage. The Medical Center 
requested that a revised program be approved. The changes would increase the amount of 
coverage, change the format and add an exclusion for any liability on account of sexual assault by 
a physician. 

It was moved, seconded and 

VOTED : To approve the Self-Insurance Program at the University of Massachusetts Medical 
Center as contained in Doc. T93-126. 

Trustee Lewenberg then gave the Report of the Committee on Athletics . He reported that the 
Committee heard reports from members of the Center for the Study of Sport in Society. Last 
spring, the four undergraduate campuses of the University joined the Center which works with 
athletics as role models to address social problems such as academic success, drug and alcohol 
abuse and racial and ethnic relations. 

The Committee also heard an update on the various aspects of Title IX. The campuses each 
made a presentation on the status of their athletic departments in relation to compliance with Title 
IX and Gender Equity. There had also been an update of the feasibility study at UMASS Lowell 
regarding an athletic facility and the structural issues at the Mullins Center. 



-4- 



^ 



Trustee Haynes reported for the Audit Committee . He first thanked Vice President Lenhardt, 
Mr. Wolcott and Ms. Wanczyk for their cooperation surfacing the issues for the Audit Committee. 
It was then moved, seconded and 

VOTED : To accept the following Reports: 

• Employee Business Expense Reimbursement Review, UMASS Dartmouth 
(Doc. T93-101) 

•Student Activities Trust Fund Follow-Up, UMASS Boston (Doc. T93-104) 

•WUMB Radio, FY93 Audited Financial Statements, UMASS Boston (Doc. T93-102) 

• WUMB Radio, Management Letter, UMASS Boston (Doc. T93-105) 

•Teaching Hospital Trust Fund, FY93 Audited Financial Statements, UMASS 
Worcester (Doc. T93-107) 

•Group Practice Plan, Audited Financial Statements, UMASS Worcester 
(Doc. T93-108) 

•Self-Insurance Trust, FY93 Audited Financial Statements, UMASS Worcester 
(Doc. T93-103) 



S 



Chair Taylor then gave a Report of the Executive Committee. The first item was Approval of 
the Policy on Naming Facilities . There was then discussion about the policy and the desire to 
recognize individuals for their contributions to the University other than monetary. 

After discussion, it was moved, seconded and 

VOTED : To approve the University Policy on Naming of Facilities as contained in Doc. T93- 
127. Further, to rescind Doc. T87-021, and all other policies (or any part thereof) 
currently in effect in the University which are inconsistent herewith. 

The next item was Legal Services . UMASS Amherst. Chair Taylor reported that the Executive 
Committee had heard from several speakers against and for the motion. Chair Taylor also 
expressed the Board's pleasure with the process by which this issue was resolved. It was moved, 
seconded and 

VOTED : WHEREAS, the Board of Trustees in August, 1986, voted to prohibit the use of 
mandatory student fees to support litigation on behalf of students; and 

WHEREAS, Amherst students filed suit challenging said prohibition and were 
unsuccessful in the First Circuit Court of Appeals; and 

WHEREAS, the student legal services office has not had authority to represent 
students in litigation since August, 1986; and 

WHEREAS, student leaders of the Amherst campus have requested the Board to 
permit mandatory fees to be used to support litigation for students; and 

WHEREAS, in light of said request, the President and Chancellor have reviewed 
the issue of student legal services for the Amherst campus; 

NOW, THEREFORE, IT IS HEREBY RESOLVED as follows: 



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STUDENT LEGAL SERVICES OFFICE 

Student activities fees properly collected by the University and designated 
through the appropriate University procedure may continue to be used to operate 
an office to provide legal services for students on the Amherst campus. 

Said office, which shall be known as the Student Legal Services Office, may 
continue to serve Amherst students provided that on all printed material and in 
all oral communication the office shall be identified as the Student Legal Services 
Office and all printed material shall include the phrase "supported through 
student activities fees." 

The Student Legal Services Office may provide advice, representation and other 
legal services to students enrolled at the Amherst campus who have paid the 
student activities fee. The Office shall not provide legal services or advice to 
individuals who are not students nor to students with respect to their status or 
duties as employees of the University. 

The Directing Attorney of the Student Legal Services Office shall report through 
the regular student affairs line organization to the Vice Chancellor of Student 
Affairs, who may consult on office management issues with an advisory 
committee to be known as the Student Legal Services Office Advisory Committee. 
Within sixty days of the date of this vote, the Student Legal Services Office shall 
recommend a structure and membership for said Advisory Committee to the Vice 
Chancellor. The Committee may include students, faculty, and administrators, as 
well as community members who are respected members of the Bar. The student 
members may be appointed by the Student Government Association and /or the 
Graduate Student Senate. The non-student members shall be appointed by the 
Vice Chancellor. 

Employees of the Student Legal Services Office shall be subject to all policies of 
the University and all state laws governing University employees, including 
chapter 268A of the General Laws. 

LITIGATION 

The Student Legal Services Office may commence litigation on behalf of students 
provided that the Office, which is supported by University funds, shall not 
engage in litigation either in court or before administrative agencies, against the 
Commonwealth or any of its agencies, subdivisions or instrumentalities including 
the University, or any municipality, or any officer, trustee, agent or employee of 
any of the foregoing for actions related to their official duties or responsibilities. 



SUNSET PROVISION 

The foregoing authorization for limited litigation by the Legal Services Office shall 
remain in effect until December 15, 1995, at which time funding shall no longer be 
used to support litigation unless before that time the Board has acted affirmatively 
to continue litigation. On or before December 15, 1995, the President and 
Chancellor shall review the operation of the Office, which review shall include, 
but not be limited to, the number and types of matters handled, the number of 
students receiving assistance, the financial need of those students on whose behalf 



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litigation was commenced, and any fee structure put in place for students on 
whose behalf litigation has been commenced. (Doc. T93-059, Addendum 1) 

The next item was Amendments to the By-Laws . Chair Taylor reported that the proposed 
recommendation would establish the External Affairs Committee as a standing committee with 
responsibility for developing strategies and policies related to fundraising and how the University 
interprets itself to external constituencies. It was moved, seconded and 

VOTED : To approve the following amendments to the By-Laws of the Board of Trustees of 
the University of Massachusetts (Doc. T91-100): 

Article III, Section 1 is hereby amended by striking out the word "five" and inserting 
in place thereof the word "six," and by adding "the External Affairs Committee." 

Article III, Section 5 is hereby amended by inserting after subsection (e) the 
following: 

"(f) The External Affairs Committee shall have the responsibility of reviewing and 
recommending to the full Board: 

i. advocacy and university fundraising and development efforts." 

The next item was a Department of Defense Resolution . It was moved, seconded and 



VOTED : WHEREAS, current Department of Defense Regulations contain a provision making 
it mandatory that the Chairman of the Board, the President, and the Secretary, meet 
the personnel clearance requirements established for a contractor's facility clearance; 
and 

WHEREAS, said Department of Defense Regulations permit the exclusion from the 
personnel clearance requirements of certain members of the Board of Trustees and 
other officers, provided that this action is recorded in the minutes. 

NOW, THEREFORE, BE IT DECLARED that the Chairman of the Board, the 
President, and the Secretary, at the present time do possess, or will be processed for, 
the required security clearance; and 

BE IT RESOLVED that in the future, when any individual enters upon any duties 
as Chairman of the Board, the President, or Secretary, such individual shall 
immediately make application for the required security clearance; and 



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BE IT RESOLVED FURTHER that the following members of the Board of Trustees 
and other officers, shall not have, and can be effectively excluded from access to all 
classified information in the possession of the corporation and do not occupy 
positions that would enable them to affect adversely policies or practices in the 
performance of classified contracts for the Department of Defense or the User 
Agencies of its Industrial Security Program: 



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NAME 


HUE 


Daniel E. Bogan 


Trustee 


Derek C. Bok 


Trustee 


David Cunningham 


Trustee 


Lawrence S. DiCara 


Trustee 


Eric Dickson 


Trustee 


Joseph S. Finnerty 


Trustee 


Heriberto Flores 


Trustee 


Michael T. Foley, M.D. 


Trustee 


Robert J. Haynes 


Trustee 


Charles J. Hoff 


Trustee 


Robert S. Karam 


Trustee 


Peter K. Lewenberg 


Trustee 


Arnold J. Lizana 


Trustee 


Ogretta V. McNeil 


Trustee 


Gordon N. Oakes, Jr. 


Trustee 


James F. O'Leary 


Trustee 


John William Poduska, Sr. 


Trustee 


Mary L. Reed 


Trustee 


Piedad F. Robertson 


Trustee 


Stephanie Siegmann 


Trustee 


Rina K. Spence 


Trustee 


Kevin J. Tobin 


Trustee 




(Doc. T93-082A) 


AoDroval of the Hospital Manaeen 


lent Board Minutes. It 



seconded and 

VOTED : To approve the minutes of the September 22 and October 27, Hospital Management 
Board meetings including the Unaudited Financial Statements for June, July, August 
and September, 1993; the proposed appointments and reappointments for June and 
September, 1993; the fourth and Annual Quality Management Report; the 
Department of Nursing Plan and Scope of Practice; the University of Massachusetts 
Medical Center' Policy Statement on Patient Rights; to support management in 
acquisition of the Meditech System; 



and further, 



In light of the strategic planning process underway, the Medical Center is 
authorized to continue to explore all restructuring and potential merger 
opportunities for the future. (Doc. T93-128) 



The next item was the Community Healthlink/University Hospital Trust Fund Guarantee. 
was moved, seconded and 



It 



VOTED : To authorize the Chancellor to guarantee a $1 million loan through the Hospital 
trust fund to be utilized in assembling the financing for renovating the Worcester 
City Campus property to provide ongoing mental health services provided, 
however, that said guarantee shall not be executed unless and until the city of 
Worcester authorizes the guarantee of a $4 million loan to Community Healthlink. 
(Doc. T93-112) 



-8- 



The next item, Non-Voting Trustees, had been discussed at the Executive Committee, 
vote would include non-voting Trustees in executive sessions. It was moved, seconded and 



This 



VOTED : To invite non-voting Trustees to attend, although pursuant to current law not 
participate in, executive sessions of the Board. 

Trustee Karam then reported on the Development and Relations Task Force. The Task Force 
had discussed the need to better promote the great job being done on the five campuses. There 
had also been discussion regarding the Legislative Data Base to better coordinate the legislative 
relations work on the five campuses. This was developed in a way to provide information to 
cultivate and better enhance relations. 

Under Other Business , the Board then heard comments from Lisa Hansen, a student from 
UMASS Boston, Bernice Auslander, President of the Faculty Staff Union, UMASS Boston and 
Professor Paul Watanabe, Faculty Representative from UMASS Boston. Each spoke of their 
concerns about the budget impact of the recent salary equity adjustment for Chancellor Penney 
and the way in which the evaluation process was proceeding. 

Chair Taylor pointed out the adjustments awarded to Chancellors Penney and Hogan had 
been based on a comprehensive study which showed the Chancellor's salaries were not in line 
with their peers. Trustee Haynes asked to go on record as sharing the students and faculty 
members concerns for issues of access and affordability. He also voiced his support for 
Chancellors Penney and Hogan and noted their leadership abilities during these difficult times. 
Several Trustees also voiced their support for Chancellor Penney and Chancellor Hogan. 

President Hooker then discussed the upcoming review for Chancellor Penney and that the 
process will enable campus input. 



Chair Taylor then called for a motion to enter Executive Session to discuss Honorary Degrees 
and announced that the Board would not reconvene in open session. It was then moved, 
seconded and 

VOTED : To enter executive session. 

The time was 11:30 a.m. Chair Taylor voted for the motion as did Trustees Bogan, Bok, 
DiCara, Finnerty, Flores, Foley, Haynes, Karam, Lewenberg, McNeil, O'Leary, Poduska, Reed, 
Siegmann, Spence and Tobin. 



The meeting adjourned at 12:20 p.m. 



&Jm~fo&ur 



Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 

AMHERST -BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Thursday, January 7, 1993; 2:30 p.m. 

Suite 800 

18 Tremont Street 

Boston, Massachusetts 

Committee and Committee Staff : Chair Lewenberg; Trustees Bogan, Foley, Karam and O'Leary 
Ms. DeVico, Staff Assistant 

University Administration : President Hooker; First Associate Counsel Bench; Ms. Tuthill, 
Assistant Vice President; Chancellors O'Brien and Hogan; Vice Chancellors Page, Desmond and 
Mulvey; Athletic Directors Wong, Dowd and Edwards; Ms. Barrett, Associate Director of 
Athletics, UMASS Boston; 

Guests: Attorney Goldings, Building Authority; Mr. Bochnak, Men's Tennis Team, UMASS 
Amherst 



Chair Lewenberg convened the meeting at 2:30 p.m. and called on Chancellor O'Brien to 
give a progress report regarding the upcoming opening of the Mullins Arena . Chancellor 
O'Brien and Vice Chancellor Page spoke about the upcoming events scheduled, including theater 
productions of David Copperfield and Jesus Christ Superstar, and several musical concerts. 
Other events include Media Day scheduled for January 28th, a fundraising event on the 29th and 
an Open House on the 31st. 

Chair Lewenberg then called for a motion to enter Executive Session to discuss contract 
matters and strategy with respect to potential litigation. He stated that the Committee would 
reconvene in open session. It was moved, seconded and 



VOTED: 



To go into Executive Session. 



- 



The time was 2:37 p.m. Chair Lewenberg voted for the motion as did Trustees Bogan, 
Foley and O'Leary. 

The Committee came out of Executive Session at 3:05 p.m. 

The next item on the agenda was the NCAA Review, with particular focus on the 
upcoming annual convention scheduled for next week in Dallas. Mr. Wong, Interim Athletic 
Director at UMASS Amherst distributed materials including two reports prepared by the Knight 
Foundation and a pamphlet explaining the NCAA. Some of the purposes of the NCAA include: 
to uphold the principle of institutional control of, and responsibility for, all intercollegiate sports 
in conformity with the constitution and by-laws of the NCAA; to supervise the conduct of, and to 
establish eligibility standards for, regional and national athletic events under the auspices of the 
Association; and to legislate, through by-laws or by resolutions of a Convention, upon any 
subject of general concern to the members related to the administration of intercollegiate athletics. 

Mr. Wong then talked about the results of the Knight Foundation Committee on 
Intercollegiate Athletics Report of 1991, "Keeping Faith with the Student-Athlete: A New Model 
for Intercollegiate Athletics". Of particular concern was the section on Presidential Control which 



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outlines recommendations of a new structure of reform: "One-Plus-Three" in which the one, 
presidential control, impacts on the following three areas: academic integrity, financial integrity 
and independent certification. 

The other Report from the Knight Foundation, titled "A Solid Start, A Report on Reform 
Of Intercollegiate Athletics", prepared in March of 1992, lists actions promising to reshape 
intercollegiate athletics include Certification, Gender Equity and Presidential Control. In 1994, 
legislation on Financial Integrity is expected to be in effect which will include sources of financial 
assistance for student athletics, the influence of athletic foundations, booster clubs and media 
revenues, and gender equity. 

Mr. Wong then summarized upcoming funding issues and how to generate revenue to 
support the number of women in intercollegiate sports. This led to the next agenda item Title IX 
Issues, UMASS Amherst . It was pointed out that with the Mullins Arena, revenue collected 
from the Hockey program would be a way to increase the number of sports offered to women. 
After discussion about the need to maintain a balance of women's and men's sports, it was 
suggested that the Amherst campus work on this issue and come back to the Committee with a 
plan. Chancellor O'Brien said a five year long-range plan is in the works and when the 
permanent Athletic Director has had a chance to review it, the plan will be released. 

The search for the Athletic Director, UMASS Amherst was then discussed. Chancellor 
O'Brien received four recommendations from the search committee. To help with the decision, he 
formed an advisory group of seven individuals including the Chair of the Athletic Committee, 
Trustee Lewenberg. Chancellor O'Brien pointed out the need for candidates to meet with campus 
personnel before a decision is made and expressed a desire to have the position filled as soon as 
possible. 

The next item discussed was Standing Agenda for the Committee on Athletics . 
President Hooker proposed that the Committee meet four times a year around a standing agenda: 

a) May 18 : An Annual Report from the Chancellors and Athletic Directors; 

b) Se ptember 21 : Academic Issues, preview of the year ahead; 

c) November 16 : Annual Review of Title IX in Athletics; 

d) January : Issues and Policy Positions of the NCAA. 

It was suggested that each campus provide an update on athletic issues at every meeting. 

Under Other Business . Mr. Bochnak, a student from the Amherst campus spoke to the 
Committee about having Men's Tennis reinstated. He explained that members of the Alumni had 
been contacted and expressed an interest in supporting the reinstatement. Chair Lewenberg 
suggested there be more research and planning by the campus concerning this issue. 

There being no further business, the Committee adjourned at 3:50 p.m. 



QoMtoAcJlMtArf 



Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST 'BOSTON •DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Tuesday, May 18,1993; 3:30 p.m. 

18 Tremont Street, Knapp Conference Room 

Boston, Massachusetts 



Committee and Committee Staff : Chair Lewenberg; Trustees Foley and Neal; Mrs. Fontaine, 
Secretary to the Board of Trustees 

University Administration : President Hooker; Executive Vice President Sessoms; Vice President 
Lenhardt; Ms. Tuthill, Assistant Vice President; Chancellors O'Brien and Hogan; Vice Chancellors 
Desmond, Mulvey, Costello; Athletic Directors Dowd, Edwards, Marcum, Titus; Associate 
Athletic Director Barrett; Mr. Suglia, UMASS Amherst 

Guest : David Cunningham, Student Trustee-elect, UMASS Lowell 

Chair Lewenberg convened the meeting of the Committee on Athletics at 3:40 p.m. noting 
that there were many items of interest on the agenda, the first discussion item being the Athletic 
Facility at UMASS Lowell . Chair Lewenberg indicated that, as has been seen with the new 
facility at Amherst, athletic facilities offer great potential for campuses, and hoped that this 
project can be brought to fruition. Chair Lewenberg invited Chancellor Hogan to speak to this 
item. 

Chancellor Hogan noted that both Vice Chancellor Costello and Athletic Director Edwards 
would also be providing information about the facility. The Chancellor spoke of the mission, 
change and finances at Lowell and that financing for the facility cannot be separated from the 
need for Reclassification into NCAA Division I Athletics (with non-scholarship football). A 
new, larger arena is one of the bases on which they will be judged in being accepted into a new 
conference. 

Chancellor Hogan asked Vice Chancellor Costello to speak to both the issue of the facility and 
reclassification. Vice Chancellor Costello was on a Commission on Athletics on the campus 
which looked at all aspects of the athletic program, with an examination of the UMASS Lowell 
mission and how athletics fits into this mission. The Commission met over five years; after two 
years it made the recommendation to reclassify all athletics to Division I AAA (now labeled at 
Div. I A A), and to look at building a new athletic facility. 

Chair Lewenberg asked where the current student center was located, and was told that there 
is not currently a student center on the campus. 

Vice Chancellor Costello went on to mention the aspect of their mission to contribute to the 
community, the city and the region. In addition to UMASS athletic competition, the facility 
would house recreational events, business conferences, entertainment events, academic 
conferences, adding to the institution's mission. The issue of being a Division I academic 
institution is also consistent with their becoming reclassified as a Division I athletic institution. 

President Hooker interjected saying that there are two issues, the first being the level at 
which an institution competes, the other being what conference the institution is in, as 



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institutions can compete independently of a conference affiliation. Vice Chancellor Costello 
indicated that UMASS Lowell would be unable to compete in Division I as an independent 
institution based on the cost factor. President Hooker asked if they would move to Div. I AA 
only if they are accepted into a conference, which was responded to with a "yes". 

Chair Lewenberg asked if they had pursued this with the particular conference, and what 
was the interest level. Chancellor Hogan said that they had pursued this in the late 1980's and 
had a positive response; it was made clear that a new facility was necessary, which was not an 
option at that time. 

Athletic Director Edwards spoke to President Hooker's question indicating that 
reclassification was contingent on the acceptance into a conference. He also mentioned that 
though the new facility is necessary for reclassification, if they are not accepted into a conference 
and cannot be reclassified, the new facility is still needed. Mr. Edwards indicated that the schools 
in the conferences in which they currently compete in football and the primary classification of 
Div. II are much smaller and have differing missions from UMASS Lowell whereas the Hockey 
East schools and the North Atlantic Conference which they will pursue for reclassification are 
more similar. 

President Hooker asked how Lowell compares to the schools in the North Atlantic conference 
with respect to size, SAT of incoming freshman, and athletic and academic program mix. 
Chancellor Hogan identified, by school, the similarities and differences of those schools currently 
in that conference, pointing out several similarities. Lowell is currently in Category I of AAUP, 
and on the Carnegie scale they are comparable to some of those schools, others are very different 
in size, competition and mission. 

Mr. Edwards reiterated that previous discussions with the NA Conference were positive, but 
were cut short because of the impossibility of a new facility. In June, 1994, the recommendation 
for inclusion in the conference would be put before the N.A.C. Board; there has been no formal 
invitation from them, and membership has not been requested. 

Chair Lewenberg asked about the funding of the arena stipulating a concern for the program 
in light of fluctuating budgets. Mr. Edwards noted that they have carefully studied the cost 
implications, and they also plan to increase the athletic fundraising activity with new staff 
member in that area. 

President Hooker asked about the athletic department budget, which would increase by 
approximately $300,000-400,000 dollars. This would be financed partially through student fees. 

In response to Chair Lewenberg's question about new fundraising efforts that would take 
place, Mr. Edwards cited athletic association sponsorship groups, corporate sponsors, 
advertisements in the ice rink, all serving to intensify efforts. The ability to gain support from the 
city through the new arena would impact on these efforts greatly, and would strengthen the city- 
university relationship in general. Chair Lewenberg, reiterated his concern for budgetary issues. 
Chair Lewenberg recommended the presentation of very careful financials, and would hope to 
see very specific numbers. 

In speaking further to the need for the facility, Mr. Edwards noted that theirs is the smallest 
ice arena in Hockey East; all other schools have facilities on their campuses and most seat over 
6,000. The location of the rink six miles from campus is also a problem with student athletes. The 
facility recommendations as a recreational center for all students would fill a need for a focal 
point for student life and would help with recruiting the general student population. It would 
also improve economic development in Lowell and the region. 



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Chair Lewenberg asked if the location of the building would actually pull the campus 
together, and the response was that the building would be located centrally on the campus. 

Discussion turned to the possibility of the city and the University joining together to build a 
larger facility with 8,000 seats. UMASS Lowell and the city have agreed to do a feasibility study 
on what the market could support. The location of the city and the parking accommodations 
indicate that the city could support this larger facility. The study should be underway in the next 
few weeks, finished by the end of the summer. 

Chair Lewenberg noted that the discussion about the facility had changed from a project that 
is University driven, built and operated, with use made available to the city to one where the city 
is a partner. Chancellor Hogan mentioned that it is necessary to discuss both options right now; 
the city would need to find $15M which is not likely at this point; a lot will depend on the 
feasibility study that will determine the niche market. 

President Hooker asked about financing this new project. It is planned to finance a major 
portion through borrowing, and they have $26M, $150K for the study. The arena would be 
around $15M, plus two $1M gifts borrowed in FY94-95., with payments FY95,96,97 would be 
around $800,000, and they would ask $60/semester for those three years. 

Chair Lewenberg and Trustee Foley agreed that the UMASS Lowell administration should 
continue to pursue their current direction, that they are lending a sympathetic and favorable ear, 
with the concerns noted regarding financial issues and city relationships. President Hooker 
added his support with caution based on his previous experience. The Committee should be kept 
up to date and involved, and is happy to contribute resources. 

The Committee then moved to Academic Issues, beginning with the Lowell campus. The 
policy on athletics is that the student athletes be treated like all other students. On average, the 
GPA of student athletes is slightly higher; 2.68 average GPA, 936 average SAT; the 459 student 
athletes will have around 2.75 cumulative GPA for this year. The academic standards for 
admission are the same for athletes and non-athletes. The Center for Learning services all 
students, athletes and general students. The academic reporting system is led by the very 
involved faculty representative to athletics who is very attentive to the students, and very hands 
on, as noted by Chair Lewenberg. Mr. Edwards noted that, as they look at reclassification, they 
are confident that they will be able to maintain this support and these standards in coordination 
with the Athletic Committee, the faculty representative, support from the Chancellor and other 
controls. Chair Lewenberg noted that at the Recognition dinner, he was very impressed standing 
before a group of students, more than half of which were on the Dean's list or better. 

Speaking in the absence of Chancellor Deck, Vice Chancellor for Student Affairs at UMASS 
Dartmouth Tom Mulvey presented the Division III athletic philosophy which requires an 
integration of academics and athletic. Their faculty representative from the psychology 
department, Professor Caruso, has had a very positive impact on the student athletes and athletic 
programs. Athletic Director Dowd noted that athletics is a central part of the UMASS Dartmouth 
experience. A key component to their program is the importance of athletics, but the greater 
importance is on academics. They are encouraged to take part in the Learning Center and 
tutorial programs. Student athletes feel a part of the general student population, they receive no 
special treatment regarding courses or facilities. They have a full-time staff person who looks at 
eligibility, and a full time person who oversees study hall activity. 

Trustee Foley asked about the graduation rates of athletes. Mr. Dowd noted that, though 
they do not have specific numbers, their athletes reflect the overall student population, also in the 
area of GPA. Mr. Edwards noted that the NCAA requires the reporting of these numbers, and 
Division II schools will not have these published until 1994. They estimate that they have very 



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good percentages of student athletes graduating. President Hooker noted that nationally, non- 
revenue sports participants have a higher graduation rate, understandable in light of the studies 
that show the greater involvement and retention of students who are involved in athletics.. 

Mr. Dowd concluded by announcing that the UMASS Dartmouth baseball team has the 
second seed in the Eastern Regional playoffs beginning on Thursday at 3:00 p.m. when they will 
play University of Southern Maine at Eastern Connecticut State. Chair Lewenberg asked that 
congratulations and best wishes of the Committee be shared with the Coach and the team. 

Speaking in the absence of Chancellor Penney, Vice Chancellor Desmond mentioned that the 
philosophy at UMASS Boston is focused on a quality program that has broad participation 
among the students and that it also serves the wider community in a holistic approach for 
recreation. Only 2.6% of their students currently participate. Athletic Director Titus noted that 
the challenges faced at UMASS Boston are distinct in that they have an older, non-traditional, 
commuter student population. They have two key phrases: normal progress toward a degree, 
and working to potential. The staff is constantly working with the students to support these 
goals; they have a full-time academic coordinator who has the capacity of pulling an athlete out 
of competition if that athlete is not working toward potential. Support services out of the 
academic offices are extensive, and serve the entire student population. They do not currently 
have numbers on graduation rates, though there is a self-study required every five years which 
they will undertake. 

Chair Lewenberg asked about the participation rate. Mr. Titus noted that it is low, but that 
the special concerns of the students on the UMASS Boston campus impact on the number. Chair 
Lewenberg asked how this impacts on the programs they offer. They do not offer some programs 
at all because they do not have the participants. 

Trustee Foley noted that the Boston campus has extensive outreach programs and works 
hard as a commuter institution to keep students and faculty on the campus and Mr. Titus 
mentioned that they are still working hard to improve on this. Mr. Titus spoke about the 
community programs they run in response to a question from Chair Lewenberg. They offer 
people memberships in their facility, they run several summer camps funded by the NCAA and 
the federal government, free of charge to participants, and run a program with Boston public 
school athletes. President Hooker asked if they have any involvement with the Boston 
Organizing Committee; Mr. Titus mentioned that they are very active with the BOC, and are also 
having discussions about the Olympic Trials of 1996. President Hooker mentioned that there 
would be a good deal of support in Boston for the involvement of the Boston campus. 

Chancellor O'Brien introduced Bob Marcum, the Athletic Director and Ed Suglia, the 
Academic Coordinator. He commented on the Division I requirement on disclosing graduation 
rates (five year) for scholarship athletes, general population was 66%, student athletes 73%. 
Published rates from 1986 were at 50% graduation rate for basketball athletes; since then they 
have made a concerted effort for those students. Football athletes have a GPA of 2.49 (average). 
Chancellor O'Brien touched on two points from the materials, the first being priority registration, 
practiced at most large schools. The second issue is the Learning Center, proposed by the 
administration and approved by the faculty senate, due for Fall 1993, for all students. They 
anticipate that the larger learning program will not have a great impact on student athletes as it 
will serve all students (4,000 incoming freshmen). 

Mr. Marcum mentioned the importance of retention and graduation rates, and that the staff is 
critical in their success, with Mr. Suglia being the only full-time professional. Mr. Suglia noted 
that the Learning Center should have a very positive impact on the student athletes. The student 
athletes at UMASS Amherst are somewhat different from the general student population, having 
been recruited for athletics and with different expectation; their goal is to have total integration of 



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the student athletes as much as possible given the differing circumstances, providing them the 
appropriate level of support, serving the unique needs of the Division I student athlete today and 
in the future. 



Because of satisfactory progress rule of the NCAA, the priority registration issue is 
significant, as the eligibility of the athletes is threatened. They also need to make decisions about 
course selection for each individual student athlete. This is a policy issue on the campus, and 
Associate Provost Aitken is working with Mr. Suglia. President Hooker noted that there is an 
extreme time burden that the University places on its student athletes, as opposed to other 
students who have time burdens but not necessarily placed on them by the University. These 
students do play a special role, and it is not an unfair means for providing them the support they 
need to complete their courses and remain eligible. 

Chancellor O'Brien mentioned the important role that Mr. Suglia plays in his interactions 
with faculty members and athletes in guiding their academic progress. 

Chair Lewenberg noted that the Amherst campus deals with a very large number of students 
and cannot necessarily use the type of Learning Center approach as at UMASS Lowell, but the 
importance of basic skills in writing and studying for all students should be a goal as the support 
programs are redesigned. 



There being no other business, Chair Lewenberg adjourned the meeting at 5:25_p.m 



kfixlus 6/- xyrr/'^uc^ 




Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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Revised 

12/3/93 



UNIVERSITY OF MASSACHUSETTS 



AMHERST "BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Tuesday, September 21, 1993; 3:30 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 






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Committee and Committee Staff : Chair Lewenberg; Trustees Bogan, Cunningham, Foley, Karam 
and O'Leary; Mrs. Fontaine, Secretary to the Board of Trustees 

University Administration : President Hooker; Ms. Tuthill, Assistant to the President; General 
Counsel Kirby; Chancellors Scott and Hogan; Vice Chancellor Costello; Mr. Marcum, Mr. Titus, Mr. 
Dowd and Mr. Edwards, Athletic Directors; Mr. Mulvey, InterimVice Chancellor for Student Services 

Chair Lewenberg convened the meeting at 3:32 p.m. The first item on the agenda was the 
Athletic Department's Annual Reports . Chair Lewenberg thanked the Athletic Directors and their 
staff for putting the amount of time that went into the Annual Reports. He then asked each of the 
Chancellors and Athletic Directors to summarize the highlights of the report. 

Mr. Marcum from UMASS Amherst spoke of the new agenda, new focus within the department 
and new enthusiasm on campus. He said there have been dramatic improvements in all phases of the 
program. The academic programs, the sports programs, the facilities, attention to media relations, 
and fund-raising have all undergone significant positive change. 

He also noted the graduation rate of 73% for student athletes is six percentage points higher than 
the general student population. 

He also spoke of the overall successes of the each of the sports programs and noted the 
achievements of the coaching staff along with the changes in staffing in the administrative and 
coaching staff. 

After discussion of the revenue projections for FY1994 which is largely attributed to the 
expectation of ticket sales for athletic events scheduled in the Mullins arena, President Hooker 
congratulated Mr. Marcum on achievements in the program. 

Mr. Titus then gave the report for UMASS Boston. He reviewed with the Committee the 
academic information contained within the report and issues which campus deals with in terms of 
tracking student athletics for calculation of graduation rates. He then highlighted the 
accomplishments and goals in the areas of intercollegiate sports, sports medicine, community 
recreation, facilities and development. The Committee asked that it be provided with the success rate 
of the teams from last year. 

Mr. Dowd noted that the 1992-93 season was the most successful in the history of UMASS 
Dartmouth. Among the highlights he cited: 

•The academic accomplishments of the student athletes. A total of 115 student 
athletes earned academic honors; 



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•The women's soccer team selected to NCAA Division III National Tournament 
advanced to National Championship Final. 

Moving to UMASS Lowell, Mr. Edwards said the campus had programs participating in all three 
Divisions of the NCAA. He said that as of August 1, 1993 football is now classified as division II 
sports. By NCAA legislative requirements, Division I & II institutions cannot have a football program 
classified as a Division III sport. Even though its a Division II we are continuing with non- 
scholarship football. 



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He too spoke of new coaching and administrative appointments. 

He then briefly spoke about the academic information included in the report but indicated that 
the entering freshman student athlete had an average SAT score of 936, an average GP A in the 1 1 core 
courses as defined by the NCAA of 2.68. In terms of graduation rates, the rate is 67.5% which is 
15.1% above the average for the entire student population. 

In the area of principal accomplishments he cited the Women's basketball team with a record of 
24 wins. The ice hockey team reached the 20 win plateau for the first time since 1987-88, and finished 
the season with a 5-4 win over the University of New Hampshire and a third place finish in the 
Hockey East Tournament at the Boston Garden. 

Trustee Lewenberg commented that all campuses have had note worthy accomplishments and 
the benefit that can be brought from public recognition of the success of athletics. He encouraged 
each campus to maximize positive public relations efforts surrounding these accomplishments. 

The next item on the agenda was Athletic Facility Status at UMASS Lowell. Chancellor Hogan 
gave a brief history of the two facilities that exist at Lowell. The gym which was built in the early 
1960's and the ice hockey facility which is six or seven miles away in the town of Billerica built in the 
1950's as a private rink, acquired by the University 15 years ago. 

He then asked Vice Chancellor Costello, who was on the Commission on Athletics on the campus 
which reviewed the aspects of the program, about the recommended reclassification and the need for 
a new facility. With regard to the building, he indicated that there had been a DCPO study 
completed in 1987 and updated this year which identified that the University had a 90,000 square foot 
shortfall on athletic facilities. During the summer, the campus in partnership with the Lowell Plan 
advertised for a feasibility study to look at the size of the facility the University and the Lowell 
community should entertain building. Coopers and Lybrand has been selected and have been 
charged with examining the University's needs and whether the Lowell community could support a 
larger facility and if it could, how would it be paid for. The ceiling on the campus would be 15 
million dollars. The study is to be finalized the first week of December, with preliminary information 
due back in two weeks. 



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Trustee Lewenberg indicated implications, most importantly financial and the need to discuss 
this more. He indicated the Committee's intent to be supportive but it is important that it be planned 
to cut across all facets of the Lowell campus and be incorporated into the University Development 
Program. 

Chancellor Hogan estimated that to move to this level of Division 1 without football would cost 
another $685,000 from where we are. UMASS Lowell is committed to doing that by increasing the 
share of the single fee structure which would have to flow into athletics. On the financing of the 
arena, we have scheduled $1 million of debt service into our budget. It will go up $2 million next 
year, and $3M the year after, then to $3.5, then to $4 which is comfortably able to finance both the 
health and safety area sand the impact on manufacturing, all of which we are committed to. We have 



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painstakingly built budgets for the next 6 years in detail to be sure we are correct about that. They 
are based on projection of enrollments but our models are quite good and have held up. He also 
mentioned the distribution of enrollments which is troublesome at Lowell and but added that we are 
doing something about it, and are committed and believe it can be financed. 



Trustee Cunningham spoke of the resistance to this from the student's point of view, considering 
the cuts the University has taken and that they are asked to pay additional fees for it. There is also 
resistance to a downtown arena. 

There was then a discussion about the Lowell partnership and whether there are other examples 
of joint ventures. Several joint ventures were cited and it was suggested that part of the study is to 
look at existing joint ventures. 

Trustee Lewenberg then commented that it was very appropriate to continue along the lines that 
have been talked about and for all the reasons expressed. If there is any sense of caution from the 
Committee it is in the reality of the financial issues that we are dealing with and what the 
implications are for the rest of the campus in general and more to ensure that it doesn't get 
sidetracked or derailed because of issues that were not anticipated. 



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Mr. Edwards then updated the Committee on the Status of the Division Reclassification 
indicating that application has not been made nor has the campus been given a firm indication that it 
would be accepted to the North Atlantic Conference were it to apply. Conversations are still 
preliminary and the campus is putting together institutional profile information relative to the school, 
its academic program, academic standards, and also its athletic program which will be presented to 
the North Atlantic Conference Board of Directors in October. The discussions continue and the 
Committee will continue to be updated and requested approval if any definitive actions need to be 
taken. 

The next item on the agenda was Astroturf and Stadium Lighting, UMASS Amherst. President 
Hooker commented that the idea for an Astroturf field first came up at the NCAA Women's field 
hockey final, because the team is the only top NCAA field hockey team that still plays on grass. That 
puts them at a competitive disadvantage. The proposal to putting Astroturf in the stadium would 
allow it to be used by lacrosse, soccer and football as well as field hockey. To help amortize the cost, 
the Stadium could be booked for outdoor concerts in the summer. President Hooker indicated his 
support of this proposal as long as there is scheduling priority to field hockey, 



Mr. Marcum reviewed the preliminary proposal, the expanded use of the facility, and proposed 
ways to finance the debt. The Committee discussed the details included therein and suggested other 
options of financing. 



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Trustee Lewenberg indicated that the campus should pursue this proposal but that there were 
many issues that need to be addressed including payment. He said it was not the intention of the 
Committee to suggest that the University would allocate the funding to do this project, but in terms 
of the scope of what is being described it fits the direction the athletic program is heading and fits 
other objectives. 



There being no further business to come before the Committee, the meeting adjourned at 5:10 



p.m. 



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Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 



MINUTES OF THE MEETING OF THE 
COMMITTEE ON ATHLETICS 

Tuesday, November 16, 1993; 3:30 p.m. 

18 Tremont Street, Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff: Chair Lewenberg; Trustees Cunningham and O'Leary; Mrs. 
Fontaine, Secretary to the Board 

Committee Members Absent: Trustees Bogan, Foley and Karam 

University Administration; Vice President Sessoms; Ms. Tuthill, Assistant Vice President; 
Chancellor Hogan; Mr. Marcum, Mr. Titus, Mr. Dowd and Mr. Edwards, Athletic Directors; 
Interim Vice Chancellor for Student Services Mulvey; General Counsel Kirby 

Guests : Mr. Richard Lapchick, Director, Center for the Study of Sport in Society; Mr. Robert 
McCabe, CSSS 

Chair Lewenberg convened the meeting at 3:40 p.m. The first item on the agenda was Center 
for the Study of Sport in Society. National Consortium for Academics and Sports. Mr. Richard 
Lapchick, Director of the Program started his presentation by announcing that the UMASS 
system was the first University in the country to join the Consortium as a system and has been 
recently joined by the Florida State System. He then gave an overview of the consortium, how it 
started and its philosophy. He talked about the programs offered and, in particular, the newest 
program which the Amherst and Lowell campuses are participating in: Mentors in Violence 
Prevention. The program is intended to enlist college student athletes in a coordinated effort to 
increase rape awareness and reduce sexual violence against women. 



Mr. McCabe from the Center spoke about gender equity issues. He distributed a document 
outlining recent and pending judicial actions regarding athletics and gender equity in higher 
education. He highlighted some of the changes the institutions will see in areas such as salary 
and compensation issues, increased scholarships, all which will have a profound impact on the 
institutions. 



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Chair Lewenberg thanked the Consortium for their help in addressing these issues and 
encouraged the campuses to avail themselves of the programs offered. He also indicated the 
Committee and Board's support in the area of gender equity and Title IX. He then turned to each 
of the campuses for Updates on Title IX . 

Mr. Marcum reported that, as indicated, three women's sports have been restored: soccer, 
lacrosse and volleyball. Since Mr. Marcum's appointment, he has instituted a self-study of the 
athletic department in the area of Title IX. The campus hired a consultant to do the review which 
was completed in August. From that document, the campus developed a five-year plan and is in 
the process of implementing it. 



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It was noted that recommendations in that report include upgrading two women's sports to 
varsity level. These recommendations have also been included in the budget process. 



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At Dartmouth, the campus is committed to gender equity, and is in compliance in certain 
areas such as personnel, travel, and equipment. There still needs to be improvement in the area 
of percentage of men and women in athletics to enrollment rates. Mr. Dowd hopes that CSSS will 
be helpful in offering suggestions on how to increase the number of female athletes. 

Mr. Edwards reported on the campus' program to meet Title IX compliance, on the athletic 
enrollment by gender at Lowell, and scholarship allocations. The campus is looking at the 
addition of two women's sports: swimming and soccer. The campus was commended for the 
clarity of its report. 

Mr. Titus distributed highlights for the athletic activities at the University of Massachusetts 
Boston for the fall of 1992 and an update on Title IX. The major problem he spoke about was one 
of facilities. He also highlighted programmatic changes which are in progress including the 
scheduling of two new female sports for 1994-1995. The policies within the Department of 
Athletics are equitable in regard to equipment, supplies, scheduling of games and practice, travel 
and others. 

Trustee O'Leary indicated an interest in the Board adopting a policy that all campuses have a 
plan to be in compliance with Title IX. The Committee endorsed the concept of conducting a self- 
study on each campus, and suggested that as a starting point each campus review the American 
Council on Education document and evaluate itself against those areas and report back to the 
Committee at the next meeting. It was also requested that there be standardization among reports 
from the campuses following the self-study format applied by the consultant at Amherst. 

Under Other Business, the Committee was updated about the progress of the Feasibility 
Study on the Lowell Facility. The study should be completed by mid-December. Mr. Edwards 
also spoke about the status of Lowell's pursuit to reclassify with the North Atlantic Conference. 
Once a decision has been made on the Conference part and if they will be expanding, the campus 
will make a recommendation to the Board. 

General Counsel Kirby updated the Committee on the structural issues at the Mullins Center. 

There being no further business to come before the Committee, the meeting adjourned at 
5:15 p.m. 



{ AJUJuX^c/' TWrzciA^j^____ 




Cynthia A. Fontaine 
Secretary to the Board 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT SUBCOMMITTEE 

Tuesday, March 30, 1993; 1:00 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff ; Chair Haynes; Trustee Lewenberg; Mrs. Fontaine, Secretary to the 
Board of Trustees 

Committee Member Absent : Trustee Poduska 



University Administration : President Hooker; Vice President Lenhardt; Mr. Wolcott, Director of 
Auditing; Ms. Wanczyk, University Controller; General Counsel Kirby; Chancellors Penney, Deck and 
Hogan; Vice Chancellors Page, MacCormack, Goodwin, Logan and Deputy Chancellor Stanton; Mr. 
Hertzfeld, Management Office, UMASS Worcester 

Chair Haynes convened the meeting at 1:10 p.m. The first item was Audit Reports . Mr. Wolcott 
introduced the first report, University-Wide Follow-Up Audit of Reportable Conditions and Related 
Management Letter. This audit reflects the follow-up results which determine the status of corrective 
actions. He also informed the Committee that follow-up activities are proceeding well and everyone is 
working very hard to correct past inconsistencies, in particularly in the grants and contracts area. 

There were then questions about the mechanisms in place for tracking issues not yet resolved. Mr. 
Wolcott assured the Committee that all on-going items were being addressed and another follow-up on 
reportable conditions will be presented at the next meeting. 

Regarding the University-wide Grant Management and Reporting System, Mr. Wolcott informed the 
Committee that this system will be in place between one and two years. 

Chair Haynes asked for clarification on several items including the Federal Bank Account. There had 
been a recommendation that the University use a separate federal bank account or close the account. A 
follow-up resulted in the bank being notified of federal accounts. Another concern was grant over 
expenditures. A report for management has been developed to document over-expenditures that have 
not been cleared at months' end and the reason they are still outstanding. 

The next two Audit reports were the Intercollegiate Athletics Programs, and the FY92 Related 
Booster Organization, UMASS Amherst . Chair Haynes questioned the University's procedures for 
monitoring booster club activities. The policy requires that the Director of Athletics receive quarterly 
reports of activities. The audit report noted that only one quarterly report was provided and the activities 
of the booster club were not monitored throughout the year. President Hooker suggested the Committee 
stay on this issue in conjunction with the Athletic Committee. 

Chair Haynes indicated that the Audit Subcommittee prepare a letter to the President requesting 
closure on this issue of expenditures required and reports of booster clubs. The Committee also asked 
^% about the status of other campuses with regards to monitoring booster club activities. 

It was then moved, seconded and 



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VOTED : To recommend that the Committee on Administration and Finance accept the 
following Audits: 

•University-wide Follow-up Audit of Reportable Conditions and Related 
Management Letter Comments (Doc. T93-027) 

•Intercollegiate Athletics Program Audit Report, University of Massachusetts 
Amherst (Doc. T93-032) 

• Related Booster Organization, FY1992 Agreed Upon Procedures Audit Report, 
University of Massachusetts Amherst (Doc. T93-033) 

The next item on the agenda was University Audit Status . Mr. Wolcott informed the Committee of 
several developments: 

• the hiring of a Senior Auditor, Ms. Carol Pimental ,who joined the President's Office in February; 

•University-Wide (Selected Areas) Cash Controls Audit is finished; a report in draft form will be 
available at the next meeting; 

•employee Business expense processing audit, UMASS Lowell, field work is underway; 

•University-wide Federal Indirect Cost Review audit, near completion, is designed to examine 
the procedures and controls over the calculation of federal indirect cost reimbursement rates; 

•Intercollegiate athletics at the Amherst campus with planned changes in financial administration of 
the outside booster organization. 

Mr. Wolcott reported of the Sales Tax External Audit performed by the Department of Revenue 
which is looking at all retail areas on the campus, in particular, telecommunications charges to resident 
students. Certain telecommunications charges may be subject to sales tax and the University may have a 
liability for past, uncollected sales taxes. 

There was then a Briefing on Indirect Costs by Mr. Wolcott. In sponsored research projects at 
universities the federal government reimburses costs, both direct and indirect. Indirect costs are all those 
costs incurred for common or joint objectives that cannot be assigned to a particular research activity. 
The Amherst, Lowell and Worcester campuses pool and allocate indirect costs in developing indirect cost 
rates. The Boston campus is considered a "short form" institution for calculating its indirect rate and 
Dartmouth until recently, was covered by the state-wide indirect rate developed by the Commonwealth. 
Dartmouth's "short-term" filing was recently submitted and approved. 

The Medical Center Audit Staff was the next item discussed. Mr. Wolcott explained to the 
Committee Ernst & Young's finding, in their management letter from FY92 at the teaching hospital, that 
the current Auditing department was not able to devote resources to the hospital in keeping with its size 
and complexity. Ernst recommended that the hospital consider funding internal audit staff to work solely 
on hospital matters. 

Based on information Mr. Wolcott complied from other comparable institutions, this institution has 
significantly less audit coverage than other health care facilities. At the very least, one auditor should be 
assigned to the Medical Center with additional audit staff assigned as required. It was suggested that he 
continue to work with the Medical Center administration to reach agreement on appropriate internal 
audit coverage including staffing levels and funding. It is hoped that these issues are resolved by the end 
of the fiscal year. 



The next item was the Medical Center Financial Audits . Mr. Wolcott explained that it was time to 
re-bid the three Medical Center audits and the University needs to determine whether or not to continue 
the practice of separating the Medical Center audits from the University audit. The three Medical Center 
audits include the Teaching Hospital, Group Practice Plan and Self-Insurance Trust have been audited 
annually, after competitive bidding, by Ernst & Young for more than ten years. 

Mr. Wolcott then recommended that these audits remain separate projects for several reasons: 1) 
combining the audits would result in very little cost savings because the Medical Center audits have 
different systems and processes and need significant audit attention; 2) separate audits maintain a more 
competitive environment because it provides twice as much opportunity for firms to bid on the work. 
Separate audits gives the University the opportunity to be able to compare the work of two firms; and 3) 
the University should not be totally reliant upon one source for expertise in two very different areas, two 
separate audits allows the University to engage the most qualified firm for each type of audit 

The Committee then discussed whether or not the University needed a formal policy dealing with the 
length of time a particular audit firm should be engaged for a specific audit. It was decided that this issue 
would come back to the Committee for more discussion. 

Chair Haynes then asked for a motion to go into Executive Session for the purpose of discussing the 
Research Grant Audit. It was moved, seconded and 



VOTED : To go into Executive Session. 

The time was 2:40 p.m. Chair Haynes voted for the motion as did Trustee Lewenberg. 

At 3:05 the Committee came out of Executive Session and adjourned. 



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Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST 'BOSTON •DARTMOUTH 'LOWELL •WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT SUBCOMMITTEE 

Monday, June 21, 1993; 12 noon 

Rare Books Room 

University of Massachusetts 

Worcester, Massachusetts 






Committee and Committee Staff : Chair Haynes; Trustees Oakes, Spence and O'Leary; Mrs. 
Fontaine, Secretary to the Board of Trustees 

Administration : President Hooker; Executive Vice President Sessoms; Vice President Lenhardt; Mr. 
Granfield; Mr. Wolcott; Ms. Wanczyk; Mr. Mathers; Mr. Edwards; General Counsel Kirby; Vice 
Chancellors Logan, Goodwin and Stanton 

Chair Haynes convened the meeting at 12:15 p.m. The first item on the agenda was the Selection 
of the Au dit Firm for the Teaching Hospital Trust Fund, the Group Pra ctice Plan and the Self- 
Insurance Trust at Worcester. Chair Haynes recapped the discussion at the last Audit Committee 
meeting indicating that the Committee had determined in its review that the Medical Center's audit 
should not be automatically given to the University's overall audit firm, nor should it be precluded 
from bidding. He then asked Mr. Wolcott to describe the selection process and audit protocol. Mr. 
Wolcott distributed a June 21st memorandum outlining a summary of the process and his 
recommendation to support the External Auditor Selection Committee's recommendation of Ernst & 
Young as the independent external audit firm. Mr. Maurice Granfield, who chaired the External 
Auditor Selection Committee, described the Committee's work. 



There was then discussion about the process, specifically focused on the evaluation criteria and 
the weighting applied, and the ranking by the Selection committee. The Committee raised concerns 
about the cost being included in the qualitative criteria. The costs were separately identified for the 
Committee. The Chair then asked for a motion to go into Executive Session for the purpose of 
discussing the selection for the Medical Center Audit. The time was 1:00 p.m. Chair Haynes voted 
for the motion as did Trustee Oakes. 



At 1:45 p.m. 
seconded and 



the Committee came out of Executive Session. The Committee then moved, 



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VOTED : To concur with the recommendation of the University Senior Director for Auditing 
and Fiscal Affairs to select the firm of Ernst & Young as the independent external 
auditor for the Teaching Hospital Trust Fund, the Group Practice Plan and the Self 
Insurance Trust at the University of Massachusetts Worcester for fiscal years ending 
June 30, 1993, 1994 and 1995, with two one-year options to renew for fiscal years 
ending June 30, 1996 and 1997. 

The Committee then met with representatives from Ernst & Young and outlined for them their 
relationship to the Board. It was suggested that the firm meet with the Chair of the Audit Committee 
and other Trustees so that the parameters and expectations for the future could be outlined. 

The next item was a briefing by Mr. Wolcott about audits performed at the University by external 
audit firms under contract to the University. This item has been raised at the last meeting and Mr. 
Wolcott's status report dated April 27, 1993 listed ten separate audits. 



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This led to a discussion about the University Auditing Status and, in particular, the 
University/College Building Authority Audit by the Office of the State Auditor. Vice President 
Lenhardt updated the Committee as to recent discussions and the status of legislation to combine the 
Building Authorities. 

Also discussed was the KPMG Peat Marwick Audit in the UMASS Amherst Department of 
Athletics and Intramurals and the related booster organization, the Minuteman Court Club. The 
campus response was submitted to the Committee for consideration. Actions to resolve the audit 
findings were outlined and it was moved, seconded and 

VOTED : To recommend that the Committee on Administration and Finance accept the 
following: Amherst Campus Response to Athletics Program Audit Report by KPMG 
Peat Marwick (Doc. T93-061) 

The next item on the agenda was the FY1993 University Financial Audit Briefing. Mr. John 
Gabranski distributed a document relating to the scope and approach for the 1993 University Audit. 
He reviewed the team that will be working with the University as well as the areas the audit will 
focus on including grants and contracts, Plant Fund, Accrued Liabilities, and Cash and other 
Operating Assets. 

Among the highlights in his presentation was GASB No. 14 which requires the University to 
include organizations for which the University is financially accountable or other organizations for 
which the nature and significance of their relationship with the University are such that exclusion 
would cause the University's financial statement to be misleading or incomplete. The impact on the 
University is its relationship with the Foundation. 

The Medical Center Internal Audit Staffing was then discussed. Mr. Wolcott and Mr. Stanton 
indicated that because of budgetary and logistical reasons, the decision to implement a change in the 
staffing was being delayed until January, 1994. 

There being no further business to come before the Committee, the meeting adjourned at 2:25 
p.m. 




/7/^o 




Cynthia A. Fontaine 

Secretary to the Board of Trustees 



-2- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT SUBCOMMITTEE 

Wednesday, September 15, 1993; 8:30 a. m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee and Committee Staff : Chair Haynes, Trustee Lewenberg; Mrs. Fontaine, Secretary to the 
Board of Trustees 

Committee Member Absent : Trustees O'Leary and Poduska 

University Administration : President Hooker; General Counsel Kirby; Mr. Wolcott, Director for 
Auditing; Chancellor Penney; Vice Chancellors Page, Goodwin, and Deputy Chancellor Stanton; Ms. 
Wanczyk, University Controller; Mr. Edwards, UMASS Boston Grants and Contracts; and Pat Dennis, 
Campus Controller, UMASS Dartmouth. 



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Guests : Mr. George McClelland, Hospital Management Board; Mr. Robert Elam, Mr. Thomas 
McDermott, Mr. Don Thieme and Ms. Donna Desmond, representatives from Ernst & Young. 

Chair Haynes convened the meeting at 8:45 a.m. and started the meeting by extending the 
Committee's condolences to Vice President Lenhardt and his family on the death of Sally Lenhardt. 
The first item on the agenda was the Audit Protocols . The recommendation was to revise the current 
policy in regard to the selection of external audit firms. The amendments outline the responsibility of 
the Audit Subcommittee in the selection process and clarify the role of the Committee in the final 
selection of the firm. Mr. Wolcott alerted the Committee the Cooper's work for the University is now 
in its third year which is the three year period fixed by the contract. It is now time to determine at 
this point if we want to recommend an extension of the contract. It was moved, seconded and 



VOTED : To recommend that the Committee on Administration and Finance approve the 
amendments to the University Audit Protocols as contained in Doc. T92-062, as 
amended. 



The next item on the agenda was a report of the Employee Business Expense Reimbursement 
Review, UMASS Lowell. During the course of the audit, there were identified shortcomings and 
areas for improvement and the auditors worked closely with campus personnel to take appropriate 
corrective action. Chair Haynes said he was pleased to read that the evaluation of the pre-existing 
Financial Guidelines showed that relatively few changes were necessary to adjust procedures to 
comply with the five-campus Travel Policy. There was a discussion about other related issues such as 
direct payments to vendors and credit card payments. There was also a discussion about whether the 
issues have been resolved, which is identified in the follow-up audit. As far as appropriate actions, 
those are handled by the campus and action depends on the magnitude of the problem. 



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The Committee commended Mr. Wolcott on the Audit format which made it easy to read. It was 
moved, seconded and 



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VOTED : To recommend that the Committee on Administration and Finance accept the 
following Report: 

•Employee Business Expense Reimbursement Review, UMASS Lowell 
(Doc. T93-085) 

The next audit discussed was the Survey of Miscellaneous Cash Receipts. This was an audit 
survey that took place University- wide during the period April, 1992 to November, 1992. The audit 
team visited various locations to ascertain the type and volume of cash handling activities, the 
adequacy of record keeping, and the procedural and physical internal controls present for the 
safeguarding of receipts. It was moved, seconded and 

VOTED : To recommend that the Committee on Administration and Finance accept the 
following Report: 

•Survey of Miscellaneous Cash Receipts, University-wide (Doc. T93-086) 

The next item was External Audit Firm Selections . As part of the Committee material, the 
Committee was provided with a summary of the process for requesting proposals for audit services 
for Amherst's Intercollegiate Athletics Programs, WFCR-FM and Friends of WFCR, Inc., University 
Health Services and Boston's WUMB-FM Radio. 

Chair Haynes asked whether in the future, in any of these external audits, a member of the Audit 
Subcommittee should participate. The Intercollegiate Athletics Programs at Amherst and Lowell 
were identified. 

President Hooker added that the University has recognized the benefit that athletics brings the 
University via the basketball program, and that we are determined to boost the visibility of the 
athletic program at UMASS Amherst to become a national figure in sports. There is always a risk in 
that the Audit staff will be fastidious about looking over the shoulders of the financial operation of 
athletics. It was moved, seconded and 

VOTED : To approve the selection of KPMG Peat Marwick of Springfield, as the independent 
external audit firm for Intercollegiate Athletics, UMASS Amherst and WFCR-FM and 
Friends of WFCR, Inc., UMASS Amherst, for fiscal years ending June 30, 1993, 1994 and 
1995 and of University Health Services, UMASS Amherst, for FY93. 

And further, 

To approve the selection of Parent, McLaughlin & Nangle of Boston, as the 
independent external audit firm for fiscal years ending June 30, 1993, 1994 and 1995 for 
WUMB-FM Radio, UMASS Boston. 

Mr. Wolcott presented the Three Year Audit Plan which he labeled as fairly ambitious. He also 
indicated that not included in the plan and just started was a President's Office audit for the FY1993 
period. Chair Haynes asked the campuses if the priorities identified were appropriate and if there 
was anything that they felt was omitted from this plan. Vice Chancellor Stanton indicated that in the 
spring, when the Committee talked about bringing on an additional auditor, there should be 
identified an expanded scope in the area of Health Care. Other areas identified were the Mullins 
Center at Amherst and modifications in the proposed international audit in FY95 at Boston. 

There was a request for additional information related to identifying costs associated by 
campuses and University- wide related external audits. 

-2- 



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Chair Haynes indicated that he was pleased with the comprehensives of the plan and the 
collaboration with the campuses. It was moved, seconded and 

VOTED : To recommend that the Committee on Administration and Finance approve the 
Annual Audit Plan for FY94, FY95 and FY96 as contained in Doc. T93-087. 

The next item was for discussion only. Mr. Wolcott provided an update on the status of the 
auditing departments operations including an overview of the audits in progress. After being told of 
the Special Management Review of Dartmouth, President Hooker noted that this is the best example 
of the way the system can benefit a single campus. The Chancellor was pleased with the results and 
the team drawn from the various campuses worked well together. 

Mr. Wolcott alerted the Committee to the issues related to the reporting requirements under 
Chapter 647 of the Acts of 1989. This law requires that all unaccounted variances, losses, shortages or 
thefts be immediately reported to the State Auditor's Office. 

Vice Chancellor Stanton spoke about the review by the Office of the State Auditor and the Office 
of the State Comptroller required by Section 2 of Chapter 110 of the Acts of 1993. The stated objective 
is to determine ". . . whether the Medical Center can operate with regard to its present purposes, with 
a smaller state subsidy than it received in fiscal year 1993 or become self-supporting. The Auditors 
are trying to understand all the entities, how they relate, and the flow of funds between the entities. 
There is a meeting this afternoon for further discussions. 

The other issue discussed was Amherst Telecommunications Sales Tax Liability. Mr. Wolcott 
updated the Committee on the status of the issues: how to fund the liability to the state and how 
future taxes will be collected. 

Mr. Wolcott also presented to the Committee the FY1992 results of the State Single Audit 
Summary and responses. More importantly the state will be going out to bid for FY '94 Single audits. 
The comptroller has given the University the options of continuing the current process, having our 
auditors do it, or to eliminate the single audit concept. There is a meeting scheduled for future 
discussion and Mr. Wolcott will keep the Committee posted on what evolves. 

The next item was a discussion of the Mullins Center . The Committee received a detailed report 
of the five month operation as well as revenues and expenses and the projected budget for FY1994. 
Trustee Haynes expressed his pleasure in receiving the document and learning about the operations 
of the facility. He indicated his concern about the first effort to privatize pieces of the University. 

Vice Chancellor Page spoke to the document and about the misperceptions about how the Center 
operates. He said he tried to demonstrate the financial arrangement and how we as an institution 
interact with the facility. Other operational and management issues he spoke about were the 
management of the facility, scheduling problems, the commitment of the university to provide and 
maintain the facility, and whether the economy of the local area is going to be able to support the 
facility. He announced that Odgen has received the contract to manage the Hartford Civic Center 
and that should position the University in a stronger event-booking situation. 

Trustee Lewenberg spoke about the need to do a better public relations job, showing the Mullins 
Center as merchandise to prospective students as well as making novelty concessions available. 



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The use of the football stadium for other events was also discussed and that there is no 

incompatibility with Mullins. This discussion is continuing to evolve and the issue of astroturfing the 
stadium was referred to the Athletic Committee. 



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Vice Chancellor Stanton also alerted the Committee about the issue of Workman's Compensation 
and the significant impact it will have on the profit and loss statement reflected in the University 
Audit. The impact will be that the financial statement will show a deficit on paper. 

There being no further business to come before the Committee, the meeting adjourned at 10:20 
a.m. 



Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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-4- 



UNIVERSITY OF MASSACHUSETTS 

AMHERST 'BOSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
AUDIT COMMITTEE 

Wednesday, November 10, 1993; 8:30 a.m. 

18 Tremont Street, Suite 800 

Board Room 

Boston, Massachusetts 



Committee and Committee Staff : Chair Haynes; Trustees Lewenberg, O'Leary and Poduska; 
Mrs. Fontaine, Secretary of the Board 

University Administration : Vice President Lenhardt; Chancellor Penney; Mr. Wolcott, Director 
of Auditing; Vice Chancellors Page, Desmond, MacCormack and Dars; Deputy Chancellor 
Stanton 

Guests : Mr. Robert Elam and Ms. Donna Desmond, Ernst & Young; Mr. John Gabranski, and 
Mr. Robert Pagrela, Coopers & Lybrand 

Chair Haynes convened the meeting at 8:35 a.m. Mr. Wolcott then briefed the Committee 
about two University Audit Reports. The first was the Employee Business Expense 
Reimbursement Review, UMASS Dartmouth . This was a review of travel expenses and other 
reimbursable employee business expenses for fiscal year 1992 and fiscal year 1993 through mid- 
December. It was noted that the campus began operating under the University of Massachusetts 
Travel Policy as of July 1, 1992. It was moved, seconded and 

VOTED : To recommend that the Board accept the following Report: 

• Employee Business Expense Reimbursement Review, UMASS 
Dartmouth (Doc. T93-101) 

The next Audit was Student Activities Trust Fund Follow-UgJJMASS Boston . This was a 
follow-up audit to the audit of the Boston Campus Student Activities Trust Fund, dated January 
31, 1992. Mr. Wolcott indicated that since the initiation of this unannounced review, a number of 
issues were in the process of being addressed by the Chancellor and Vice Chancellor and many 
of the issues have been resolved. Further, the campus has prepared policies and procedures for 
the management of the Student Activities Trust Fund and Revenue Cost Centers, a copy of which 
was distributed to the Committee. This clearly delineates responsibility and accountability for 
the funds. Chair Haynes expressed his appreciation to the campus administration for their efforts 
and hopes that the Policies and Procedures will put closure on these issues. The Committee 
reinforced the oversight responsibility of the Vice Chancellor for Student Affairs and the Vice 
Chancellor for Administration and Finance to oversee the management of these funds. 

It was moved, seconded and 



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VOTED: To recommend that the Board accept the following Report: 

•Student Activities Trust Fund Follow-Up, UMASS Boston (Doc. T93- 
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The next two items were External Audit Reports. The first was the Audited Financial 
Statements for FY93 and Management Letter, WUMB-FM Radio. UMASS Boston . Mr. Wolcott, 
in reviewing this audit prepared by Parent, McLaughlin & Nangle, indicated that this was 
required by the Corporation for Public Broadcasting. The Committee noted the contingency 
regarding purchase that requires the Worcester Station to be in full operation by February, 1994. 
Vice Chancellor Desmond responded affirmatively that the date would be met. This raised the 
question of the appropriateness of whether all University Radio Stations should be networked 
together and whether the network that we are affiliated with would offer that opportunity. 

It was moved, seconded and 

VOTED : To recommend that the Board accept the following Reports: 

•WUMB Radio, FY93 Audited Financial Statements, UMASS Boston 
Doc. T93-102) 

•WUMB Radio, Management Letter, UMASS Boston (Doc. T93-105) 

Next was the Audited Financial S tatements for FY93 for the Teaching Hospital Trust. 
Group Prac tice Plan and Self Insurance Trust. UMAS S Worcester. Mr. Elam and Ms. Desmond 
from Ernst & Young made the presentation with regard to these audits. Distributed at the 
meeting was the Required Communications Letter. Ms. Desmond reviewed in detail the 
variances in each of the balance sheets. She gave comparative statistics looking at dates 
outstanding indicating that the Hospital was well within the ranges of other Hospitals. 

There was a discussion about the investment policy of the Self Insurance Trust and Vice 
President Lenhardt suggested that this be reviewed in more detail by the Investment Committee. 
There was also a discussion about the trust funds, subsidization of the Medical School, its impact 
and implications and how the Board can be proactive. 

It was then moved, seconded and 

VOTED : To recommend that the Board accept the following Reports: 

•Teaching Hospital Trust Fund, FY93 Audited Financial Statements, 
UMASS Worcester (Doc. T93-107) 

•Group Practice Plan, Audited Financial Statements, UMASS Worcester 
(Doc. T93-108) 

•Self-Insurance Trust, FY93 Audited Financial Statements, UMASS 
Worcester (Doc. T93-103) 

The Committee then discussed the Coopers & Lybrand Annual University Audit. Vice 
President Lenhardt updated the Committee on the deadlines established for the completion of the 
Audit. The Committee expressed an interest in having a system put in place to allow this to 
occur in a timely fashion. 

Mr. Gabranski from Coopers and Lybrand spoke about the need for the Committee to review 
the financial statements and to review them in the context of other significant issues the 
University is facing. The prior years' Management Letter comments will be reviewed by Coopers 
and Lybrand at a separate meeting. 






-2- 



Mr. Wolcott then updated the Committee on the status of audits in progress. Chair Haynes 
asked that Mr. Wolcott provide him with further information about upcoming selection processes 
for external auditing firms so that a member of the Committee may be available to participate. 



There being no further business to come before the Committee, the meeting adjourned at 
10:20 a.m. a * \J 

Cynthia A. Fontaine 

Secretary to the Board of Trustees 




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UNIVERSITY OF MASSACHUSETTS 



7 



AMHERST -BOSTON •DARTMOUTH 'LOWELL 'WORCESTER 



MINUTES OF THE MEETING OF THE 
HONORARY DEGREE SUBCOMMITTEE 

Monday, March 22, 1993; 8:00 a.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 






Committee and Committee Staff : Chair Taylor; Trustees Poduska and Reed; Chancellor Penney; 
Vice President Story; Mrs. Fontaine, Secretary to the Board of Trustees 

Committee Member Absent : Trustees Haynes and Karam 

Absent: Trustees Haynes and Karam 

Chair Taylor convened the meeting at 8:10 a.m. The Committee discussed the material included 
in the package sent out including the SUNY material. Chancellor Penney highlighted the campus 
procedures and stressed the need for confidentiality within the process. In discussion, the point was 
made that the process should largely be campus driven, with each Chancellor viewing the award of 
honorary degrees as an important tool to show their campus its mission favorably. 

During the course of the discussion that followed, the Committee came to preliminary consensus 
that the following points should be included in a policy: 

1. At all times during the process, care should be taken to ensure strict confidentiality. There 
should be no communication with prospective degree recipients that they are being 
considered for an honorary degree until after the Board of Trustees has approved the award 
of the degree to the individual. 

2. The Board policy should provide for Trustee nominations to be vetted through a Committee, 
such as the nominating Committee, before coming to the full Board. Query: should 
Chancellor nominations also go to this same Committee, and thereby relieve the Executive 
Committee of this task? 



Honorary degrees should not be awarded to members of the Board of Trustees, faculty or 
staff or current candidates or holders of federal or state elective Massachusetts public office. 
Such persons may be considered when they are no longer current Trustees, faculty, staff, 
office holders or candidates. This is the general accepted practice at other public higher 
education institutions and eliminates any potential conflict of interest (Former Chancellor 
Jennifer was advised by the State Ethics Commission that he could not receive such a degree 
from a state college because of his position of responsibility over that college). 

In the event of an inability of an individual to accept a degree the year he/she is approved, 
Chancellors shall maintain a list of authorized degree recipients and determine the order of 
who is offered the degree each year. 

In cases where it is necessary to seek Trustee approval outside of the normal sequence, an 
emergency Trustee meeting should be called; no delegation should be made to a Board 
committee to approve such last minute candidates. 




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6. Except in extraordinary circumstances, no honorary degree will be awarded in absentia. 

7. Candidates for honorary degrees should be persons of great accomplishment and "high 
ethical standards" (or whatever better phraseology the Committee can draft). 

8. There should be no prohibition against a campus giving an honorary degree to the holder of 
a degree from another campus. 



It was agreed that everyone would reflect on these points, and at the next meeting would 
consider a draft policy. The meeting adjourned at 9:35 a.m. 



Cynthia A. Fontaine 

Secretary to the Board of Trustees 



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UNIVERSITY OF MASSACHUSETTS 
AMHERST • B OSTON • DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
HONORARY DEGREE SUBCOMMITTEE 

Wednesday, May 26; 1:30 p.m. 

18 Tremont Street - Suite 800 

Board Room 

Boston, Massachusetts 

Committee : Chair Taylor; Vice President Story; Assistant Vice President Layton; Chancellor Penney 

Committee Members Absent : Trustees Haynes, Karam, Poduska, and Reed 

University Administration : Vice Presidents Story; Assistant Vice President Layton; Chancellor Penney, 

Chair Taylor convened the meeting at 1:40 a.m. and reviewed a final draft of the Honorary 
Degree Policy which had been amended at the March 22nd meeting. There was agreement that the 
deadline for submitting recommendations to the Secretary of the Board be changed from August to 
December so that the campuses have more time to prepare their nominations. 

The Committee also agreed to add the following amendment to the policy: 

• In the event that an individual is not granted a degree in the year for which it was 
approved, such person shall remain authorized to receive an honorary degree 
from the campus in question for the next succesive two years without further 
action by the Board of Trustees. 

It was then moved, seconded and 



VOTED : 



To recommend that the Board approve the University Policy 
on Awarding Degrees as contained in Doc. T93-060. Further, to 
rescind Doc. T91-130 as amended, and all other policies (or any 
part thereof) currently in effect in the University which are 
inconsistent herewith. 



The meeting adjourned at 2:00 p.m. 




Barbara DeVico 
Staff Assistant 



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UNIVERSITY OF MASSACHUSETTS 



AMHERST 'BOSTON 'DARTMOUTH • LOWELL • WORCESTER 

MINUTES OF THE MEETING OF THE 
INVESTMENT COMMITTEE 

Tuesday, April 6, 1993; 12:30 p.m. 

Board Room 

University of Massachusetts 

Dartmouth, Massachusetts 




Committee and Committee Staff : Chair Oakes, Jr. and Trustee Haynes; Mrs. Fontaine, Secretary 
to the Board of Trustees 

Administration: Vice President Lenhardt, Philip Marquis, Associate Treasurer; General Counsel 
Kirby 

The meeting convened at 12:35 a.m. The Committee discussed three areas relating to 
investments: the Self Insurance Trust, the University Endowment and the Treasurer's Annual 
Report. 

The Committee talked about the current Investment policy which includes the provision that the 
University will not invest in any company or lending institution which, either or through its 
subsidiaries or affiliates, does business in or with the Republic of South Africa or in countries 
with similar apartheid racial policies. 

The Committee inquired whether there had been an analysis of this policy, whether those 
provisions have impacted the trust, have those provisions set limitations and hurt the return? 
The Committee agreed to research the impact of the provisions. There was also a question raised 
about the University's policy on periodic evaluation of investment firms. The Committee's 
concern was that so often there are reactions to established policy and its periodically healthy to 
re-evaluate policies. The Committee agreed to study how a revised policy might be implemented 
ie. Sullivan's Signatory. 

There was then discussion of the investment strategy of the UMASS foundation. That portfolio is 
currently invested in a series of active and passive investments. Vice President Lenhardt 
referenced page 5 of the Prime Buchholz & Associates Report, which identifies the distribution of 
the investment strategy. The percentage of the portfolio weightings is based on ratios worked out 
with investment committee. Vice President Lenhardt highlighted the fact that this year the total 
fund returned 6.1% and outperformed the policy index of 6%. 

Then discussed was the Annual Report on Investments of the Treasurer and the request to extend 
maturities, which precipitated establishing this committee. Vice President Lenhardt informed the 
Committee that there is a set of investment objectives, requirements and reports on what 
happened and distribution of the pool attached to the annual report. Page 8 Table 8, shows the 
progression in available cash balances to invest. The questions raised are, to the extent that we 
agree to extend the maturity of the portfolio what is over the vulnerability in terms of this policy 
change or circumstances beyond our control. The Committee agreed to do a duration analysis of 
the portfolio and report back at the next meeting. 



Next discussed was the new policy which returns the interest earned on Trust funds on each of 
the campuses. The Committee members present were not aware that there was no longer TFI 
available for use by the Board. The Committee asked that the administration consider 
establishing a policy to require reserve balances for future use. Also discussed was another 
interest distribution model which would establish a fixed rate to be distributed on the investment 
and funds accumulated beyond that fixed rate be maintained by the Trustees. 

There was also a concern raised about the level of endowment compared to peer institutions. At 
the conclusion of the meeting, the Committee asked that staff prepare a duration analysis 
including specific terms and analyses. Also that a quasi endowment and permanent endowment 
policy building up reserves be brought to the Committee for consideration. Two other items to 
be brought back for consideration would be a proposed fee on the investment strategy and an 
examination of present policy what goes on campus by campus with respect to the accumulation 
of reserve balances. 



There being no further business to come before theAzommittee, the mpenng adjourned at 2:20 p.m 



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Cytnthia A. Fontaine 

Secretary to the Board of Trustees 



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